• Serve as the primary compliance professional for Crux’s broker-dealer and RIA subsidiaries, ensuring compliance with FINRA, SEC, and state securities laws. • Develop and maintain compliance policies, procedures, and supervisory systems aligned with FINRA, SEC, and other applicable standards. • Oversee supervisory controls, annual reviews, testing, and risk assessments. • Manage all regulatory examinations, audits, and filings, including Form ADV, Form BD, FINRA membership continuing requirements, and related reports. • Serve as a key liaison with regulators, external counsel, auditors, and internal teams on all compliance-related matters. • Ensure appropriate registration, training, and oversight of associated persons and registered representatives. • Monitor marketing, communications, and financial promotions for regulatory compliance and alignment with firm policies. • Implement and maintain books and records, trading oversight, and surveillance programs tailored to Crux’s products and platform. • Oversee select corporate compliance functions, including AML/KYC, OFAC/sanctions screening, and anti-bribery/anti-corruption policies. Advise on emerging compliance risks across the broader Crux enterprise, including data governance, conflicts of interest, and information barriers. • Support implementation of compliance technology and reporting systems for centralized oversight. • Collaborate with Legal, Finance, and Operations to maintain a robust, scalable compliance framework consistent with Crux’s growth and regulatory posture.