This unique position will assist and provide investment and compliance support to the Firm and report directly to the Director of Compliance. Responsibilities: Essential functions will include but not limited to: • Provide support and guidance to Financial Representatives and their staff as it relates to business processes and other general inquiries • Communicate and respond to Financial Representatives regarding compliance and supervision issues, industry rules, and firm policies and procedures • Work closely with other team members, departments, home office staff, and field personnel to promote the overall objectives of the Firm • Assist Director of Compliance with annual office inspections, personal interviews, and client file reviews • Maintain various logs and recordkeeping and track firm training requirements Qualifications: • Bachelor’s degree, preferably in Finance or Business • SIE preferred, and the ability to obtain FINRA Series 7, Series 66, and Series 24 licenses within 6 months of starting position • Strong working knowledge of the brokerage/investment advisory business, the regulatory environment, and the services related to the industry preferred • Strong technology and communication skills • The desire to be an enthusiastic and cooperative team player willing to contribute as necessary to promote the success of the department, the region, and the Firm as a whole Compensation: $45,000

• Essential functions will include but not limited to: • Provide support and guidance to Financial Representatives and their staff as it relates to business processes and other general inquiries • Communicate and respond to Financial Representatives regarding compliance and supervision issues, industry rules, and firm policies and procedures • Work closely with other team members, departments, home office staff, and field personnel to promote the overall objectives of the Firm • Assist Director of Compliance with annual office inspections, personal interviews, and client file reviews • Maintain various logs and recordkeeping and track firm training requirements