• Serve as the primary escalation point for complex compliance and supervisory matters arising from the Delivery team. • Assess regulatory risk, provide clear guidance, and drive timely resolution of escalated issues. • Participate in the handling of regulatory inquiries, examinations, and audits, including reviewing responses and helping coordinate cross-functional stakeholders. • Provide expert interpretation of FINRA and SEC rules and ensure consistent supervisory application. • Ensure proper documentation, defensibility, and alignment with internal supervisory controls. • Identify regulatory gaps and implement corrective or preventive measures where necessary. • Key stakeholder in Rule 3120 annual compliance reviews and testing. • Review advertising and marketing materials for regulatory compliance. • Provide insights to help the Compliance team enhance Written Supervisory Procedures (WSPs). • Help coordinate the annual compliance meeting and required regulatory attestations. • Support onboarding of registered representatives through the FINRA Gateway system. • Prepare quarterly and periodic compliance reports. • Help monitor regulatory developments and implement necessary policy or procedural updates. • Contribute to the development and enhancement of compliance-related systems and tools. • Provide Series 24 supervisory oversight and guidance to the broker-dealer operations team. • Support supervision of capital raise and M&A transactions, ensuring regulatory compliance and adequate documentation. • Review and approve activities requiring principal oversight. • Partner with Legal and Compliance to address regulatory risks and internal matters. • Key stakeholder in strengthening supervisory frameworks, policies, and controls. • Contribute to the development and refinement of supervisory procedures and related technology enablement in coordination with Compliance, Product, and Engineering.