Supports the Director of Risk and Compliance in managing regulatory compliance for a registered investment adviser and broker-dealer. Advises business units, oversees regulatory filings, annual reviews, compliance monitoring, AML and KYC activities, marketing reviews, training, regulatory change, policies, procedures, and service providers. Contributes to new product compliance frameworks, strategic initiatives, stakeholder projects, and global compliance programs across US and Canadian jurisdictions.

Monitor, diagnose, and resolve security events and incidents across networks, servers, endpoints, and cloud applications. Conduct vulnerability assessments, security audits, and reviews; investigate root causes; recommend mitigation strategies; improve security operations through automation; develop and monitor policies and controls; provide cybersecurity expertise, user support, training, and vendor coordination.