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Reviews and analyzes supervisory controls, compliance, and risk practices for private client and investment management activities. Partners with advisors, managers, and business units to identify issues, improve processes, monitor high-risk strategies and complex products, and implement control enhancements. Also gathers data, identifies trends, presents recommendations, and maintains knowledge of firm, regulatory, and FINRA requirements.

Supports public finance investment banking for higher education clients by preparing cash flow analyses, pitch books, and RFP responses; leading due diligence; coordinating legal documentation and compliance; maintaining client relationships; and helping execute financing transactions and derivatives.