The Associate Compliance Officer will provide compliance oversight, assist with regulatory audits, manage record productions, and ensure adherence to compliance obligations. Collaborating with teams and implementing enhancements to practices will also be key responsibilities.

The Head of Regulatory Affairs will oversee the firm's response process to regulatory and legal audits, serving as the liaison with authorities like FINRA and SEC. Responsibilities include managing regulatory inquiries, ensuring timely responses, and collaborating with internal teams while maintaining compliance with regulations.