Compliance Officer, Finance & Banking

The Firm is a broker-dealer/investment adviser applicant seeking FINRA membership to supplement an existing registered investment advisory, real estate, and insurance ecosystem. The Consultant will serve as the Firm'ssecond General Securities Principal (GSP) its Financial and Operations Principal (Fin Op), and its Chief Compliance Officer (CCO) for the broker-dealer, providing principal-level supervision, financial and operational oversight, and compliance program administration.

The role exists to satisfy the two-principal requirement of FINRA Rule 1210.01, to provide independent principal review of the founder's own securities business, and to supply broker-dealer supervisory and financial operations experience that is distinct from the founder's advisory background. The Consultant is expected to function as a principal of the Firm — not as an advisor to it — and to exercise independent judgment, including the authority to decline approval of a transaction, communication, account, or offering.

The Consultant will supervise across the following approved or proposed business lines:

• Private placements of securities (Regulation D and other exempt offerings)
• Real estate securities and limited partnership syndications
• Direct participation programs and tax-advantaged offerings
• Variable annuity and variable life insurance products
• Investment advisory services (dual-registrant/BDIA context)
• Mergers and acquisitions advisory, exempt and registrable

• Series 7 (or equivalent qualifying representative registration)
• Series 24 — General Securities Principal
• Series 27 or Series 28 — Financial and Operations Principal, as appropriate to the Firm's approved net capital category
• Registration with the Firm via Form U4, with fingerprints submitted under SEA Rule 17f-2
• Current with Regulatory Element continuing education under FINRA Rule 1240;
  Firm Element participation as assigned or willing to finish within 5 business days upon registration.

• Series 66/65 or comparable, given the Firm's dual-registrant structure
• Series 39 or Series 22 exposure relevant to direct participation programs
• Series 4, 53, or 79 where relevant to specific product lines

Supervisory (GSP): either (1) one year of direct broker-dealer supervisory experience, or (2) two years of related broker-dealer supervisory experience, in business activities comparable to those proposed by the Firm. The record must identify each firm at which a supervisory role was held, the duration of each tenure, the size and business activities of that firm, and the specific supervisory responsibilities exercised.

Financial operations (Fin Op): either (1) one year of direct broker-dealer Fin Op experience, or (2) two years of related broker-dealer financial operations experience, at firms with comparable business activities.

Demonstrated experience supervising private placement and DPP/real estate syndication activity, including Rule 5122 and 5123 filings Working command of Regulation Best Interest, Form CRS, and the suitability obligations applicable to illiquid and tax-advantaged products AML program experience under FINRA Rule 3310 and the Bank Secrecy Act, including OFAC screening and enhanced due diligence for non-U.S. customers Experience preparing and filing FOCUS reports and coordinating annual audits under SEA Rule 17a-5 Prior experience with a firm in its first two years of membership, or with new member applications, strongly preferred

• Serve as a principal of the Firm with defined supervisory jurisdiction, as delineated in the Firm's Written Supervisory Procedures delegation-of-duties section, distinct from the supervisory responsibilities retained by the CEO.
• Independent review of the founder's securities business. Review and approve the securities transactions, correspondence, and customer accounts of the Firm's CEO and any other producing principal, resolving the producing-principal conflict identified at the membership interview. This responsibility may not be…