Lead rate governance processes, including quarterly and annual rate audits, rate change reviews, accounts receivable reconciliations to validate rate accuracy, and oversight of fund/manager fee updates aligned with cost-reimbursement programs across products and managers, while driving automation and enhancements to SOX controls. Serve as a thought leader by proactively identifying emerging trends, risks, and industry shifts, translating them into strategic recommendations that strengthen operational readiness and regulatory alignment. Manage regulatory and disclosure activities, including revenue-sharing, OIBD and website updates, 5% disclosures, monthly FINRA 2241/2242 communications, and the annual Board of Directors presentation. Conduct quarterly DOL commission reporting, OC 5 cost reimbursement reporting, and support annual and mid-year audit cycles. Guide contract management workflows within Liferay and coordinate updates related to WMS regulatory enhancements. Maintain the business continuity plan and communication protocols, while driving continuous improvement and elevating organizational preparedness. Champion operational excellence, fostering a culture of innovation and control-strengthening across teams. Lead cross-functional initiatives to enhance processes, improve data integrity, and ensure accurate and compliant regulatory reporting. Influence organizational strategy by providing expert insights, framing complex issues for senior leaders, and driving alignment across Finance, Operations, Legal, Compliance, and Product. Required Qualifications: Ideal Candidate. The ideal candidate brings strong analytical capabilities, experience in regulatory or financial operations, exceptional attention to detail, and the ability to lead complex, cross-functional processes in a controlled, high-visibility environment. They demonstrate strategic thinking, thought leadership, and the ability to influence stakeholders at all levels, driving forward-looking improvements that elevate compliance, operational efficiency, and business resilience. Preferred Qualifications:5 years of experience in financial services, asset management, brokerage operations, or a related regulatory or financial operations environment. Demonstrated knowledge of regulatory frameworks such as FINRA, DOL, SEC, or SOX, with experience supporting audits or control-sensitive processes. Strong analytical and data validation skills, including proficiency with Excel or similar reporting tools. Experience with disclosure reporting, fee/rate governance, revenue sharing processes, or other financial oversight functions. Familiarity with contract management systems (Liferay or comparable platforms). Proven ability to manage cross-functional initiatives, influence stakeholders, and lead process or automation improvements. Exceptional attention to detail, organizational discipline, and ability to manage recurring regulatory deadlines. Strong written and verbal communication skills, with the ability to simplify complex regulatory or operational requirements. Bachelor’s degree required; advanced degree or certifications (e.g., MBA, CPA, CRCM, PMP, or Lean/ Six Sigma) preferred. Licenses Required: Series 7 Visa Sponsorship. Applicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States (e.g., H-1 B, F-1 CPT, F-1 OPT, TN). In-Office Collaboration We are a client-centric, relationship-based business. Working together, in-person, is foundational to how we achieve results. By fostering a culture of face-to-face collaboration, idea sharing, productivity and personal connection, we deliver for our stakeholders — clients, advisors, employees and shareholders. Our employees work in the office at least four (4) days per week, with flexibility to work from home one (1) day per week. Some roles may require additional in-office time or different in-office expectations, and specific requirements will be discussed during the hiring process. #LIDNI - Base Pay Salary. The estimated base salary for this role is $87,400 - $120,200 / year. We have a pay-for-performance compensation philosophy. Your initial total compensation may vary based on job-related knowledge, skills, experience, and geographical work location. In addition, most of our roles are eligible for variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role. We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances. Full-Time/ Part-Time. Full time. Exempt/ Non-Exempt. Exempt. Job Family Group. Business Support & Operations. Line of Business FPPS Wealth Management Solutions.