Overview This is a remote role that may be hired in several markets across the United States.   The Senior Compliance Officer will serve as a senior individual contributor responsible for the design, execution and continuous enhancement of the firm’s Compliance testing program, including supervisory control testing under FINRA Rule 3120.  This role will also lead the firm’s testing and retrospective review requirements under Department of Labor Prohibited Transaction Exemption 2020-02.   This position requires a high degree of independence, technical expertise, and critical thinking to assess the effectiveness of supervisory controls, identify risks and control gaps, and produce well-supported, defensible regulatory reports (e.g., FINRA Rule 3130, SEC Rule 206(4)7 Annual Review, and the DOL Retrospective Review).  The ideal candidate is a strong individual producer with deep rule-based compliance knowledge and the ability to translate regulatory expectations into...