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Lead the Advertising Review team to review and approve marketing and communications across RIA and broker-dealer platforms. Provide SEC/FINRA/ETF marketing compliance expertise, support examinations, optimize review workflows and technology (including Red Oak AdMaster), and lead, mentor, and scale a distributed team to ensure timely, risk-based reviews.

Partner with the CEO to drive enterprise strategy and execution, lead cross-functional initiatives, optimize CEO time and executive team operations, manage board and investor relations, establish KPIs, identify process improvements, and represent the CEO in select meetings.

The Credit Research Analyst will conduct fundamental investment research on corporate bonds and leveraged loans, developing investment recommendations and collaborating with other financial professionals.

As a Client Engagement Specialist, you will provide customer service, educate clients on investment products, and support financial goal achievement through inbound interactions.