Supports broker-dealer and investment-advisor compliance by reviewing annuity applications and 1035 exchanges, conducting representative surveillance, performing KYC and CDD checks, maintaining Written Supervisory Procedures, coordinating compliance reporting, and overseeing regulatory training. The analyst advises business partners on FINRA and SEC requirements, assists with compliance projects, and reports to the Chief Compliance Officer.

Lead all financial strategy, planning, and accounting for a fintech broker-dealer. Oversee regulatory reporting (FOCUS), net capital, compliance with FINRA/SEC, budgeting, forecasting, investor relations, and a finance team. Advise the CEO and executive team to drive growth and ensure long-term financial health.