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The Tax Operations Analyst will ensure the accuracy of cost basis processing and tax reporting data, resolve reconciliation breaks, analyze processing results, and recommend process improvements. This role requires strong analytical skills and the ability to work independently.

The Compliance Officer (Regulatory) will oversee the organization’s compliance functions including exam management and regulatory change management. Responsibilities include monitoring regulatory updates, preparing and managing regulatory filings, responding to inquiries, and preparing compliance reports for management.

The Senior Compliance Analyst will oversee compliance related to new businesses, client onboarding, and internal advisory services. Responsibilities include reviewing new initiatives for regulatory compliance, assisting clients during onboarding, providing guidance to the advisory business, and evaluating marketing materials for compliance. The role focuses on continuous improvement of compliance policies and procedures.