Overview This is a remote role that may be hired in several markets across the United States.   The Senior Compliance Officer will provide senior-level compliance expertise across broker-dealer and RIA communications, complaint management, and complex representative investigations. This role is responsible for oversight of Communications with the Public and Advertising review, advancement of the Firm's complaint management framework, and leadership of complex representative investigations and disciplinary matters. The position combines regulatory expertise, risk assessment, and hands-on execution. The Senior Compliance Officer reviews and advises on advertising and communications, helps support the Firm's complaint management program, conducts complex investigations, and partners with business and compliance leadership in evaluating conduct, supervisory, and regulatory risk. The ideal candidate is a seasoned compliance professional with significant broker-dealer...