Manage and execute the compliance program for RIA and BD entities: maintain registrations, run testing and surveillance (including electronic communications), manage advertising and filings, administer training, oversee compliance tools and vendor relationships, drive exam readiness, and contribute to AI governance and automation within regulatory standards.

Lead end-to-end sales compensation administration for assigned segments: commission calculations, payments, crediting, draws, clawbacks, and dispute resolution. Own Xactly configuration and data integrity, deliver monthly reporting and forecasts, support plan design and financial modeling, drive cross-functional initiatives, improve processes and compliance, and leverage AI to automate and scale comp operations.

Own end-to-end revenue recognition for the Retirement segment (401k, IRA, AUM, plan administration). Prepare journal entries, subledger reconciliations, and close deliverables. Apply ASC 606 to complex arrangements, drive automation with Python/SQL/Excel/AI, improve processes, support audits, and partner cross-functionally with Operations, FP&A, Engineering, and Data on revenue integrity and new product launches.