Regulatory Expertise: Strong working knowledge of key Americas NFRR regimes (e.g., SEC: N‑PX, Rule 606/605; FINRA: CAT, CAIS; MSRB G‑14; TRACE; CFTC/Dodd‑Frank) with familiarity across global regimes that intersect with Wealth (e.g., MiFID/MiFIR, EMIR, FMIA, HKMA, SFC, MAS, CSSF, UAE Central Bank). The role supports regulatory inquiries, internal audits, and compliance reviews and provides subject‑matter expertise across reporting regimes such as SEC, FINRA, MSRB, CFTC, HKMA, SFC, MAS, FCA, ESMA/MiFIR, CSSF, UAE Central Bank, IIROC, and other global authorities relevant to Wealth.