Conducts advertising supervision reviews of Capital Markets/IB, Retail Financial Advisors, and Home Office Personnel through the use of various reporting tools and systems.• Review Advertising materials to ensure compliance with relevant regulatory requirements.• Monitor for and investigate high-risk content and leverage knowledge of compliance regulations to help provide alternative solutions to key stakeholders.• Oversee and execute special projects to ensure existing programs meet regulatory needs .• Assists in developing training programs, including maintaining training materials and coordinating training new associates.• Prepares and delivers written and oral presentations to business units as needed.• Serve as subject matter expert in the area of Equity Capital Markets advertising and social media• Supported implementation of, and onboarding of users to new, company-wide social media monitoring tool.• Responsible for review of Advisor websites.

• Discuss financial principles and provide investment education to high net worth clients and prospects• Identify and uncovers referral opportunities for internal sales groups• Provide investment solutions and plans while servicing client accounts• Execute transactions accurately and promptly• Collaborate with business units to identify and resolve discrepancies and escalated situations

• Solve account problems through collaboration with peers• Share knowledge of investment products and services to aid clients in decision making• Serve as a resource for navigating online account platforms