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•Conduct onsite/remote branch reviews as part of our risk based internal branch examination process

•Perform daily trade blotter review and approval with a focus on exception reports

•Assist with performing firm's annual supervisory controls and verification testing

•Review, investigate, and clear all daily Trade Summary Monthly, Account Periodic, and Account Rank surveillance reports

•Review and approve Advertising/Sales Literature/Public Speaking/Trade Corrections, Annuities, and Direct Business, etc. on RedOak

•Perform investigations of potential violation of industry and firm policies, procedures and best practices (document findings and report to CCO)

•Conduct email, instant messaging, social media, and other electronic communication surveillance in accordance with firm policy and involve Branch Management as needed

•Monitor Firm and Regulatory Element Continuing Education training

•Research and respond to regulatory information requests

•Work closely with Branch Managers on investigations involving trading activity in their respective branches

•Review and oversee active/inactive accounts, advisor account cash balances, and Quarterly Fees

•Enhance and implement Compliance policies, processes, and procedures

•Organize outside brokerage account approvals and review trading activity in

• oemployee outside accounts

•Serve as administrator for various compliance applications such as Bridger, Red Oak, Red Ed, Smarsh, LinkedIn etc.

•Keep abreast of changes in regulatory rules and guidelines

•Send various approved firm letters and notifications to customers, as needed

•Organize and maintain content on Compliance Intranet site

•Maintain accurate hard copies of client files for Compliance and establish filing system

•Take initiative in career growth by engaging in provided development opportunities

•Be an active culture carrier within teams and contribute to a positive team morale

•Other projects as assigned