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About this role: Wells Fargo is seeking a Senior Lead Compliance Officer within (CIB)Corporate Investment Banking Markets Compliance Groups. In this role, you will: Advise and challenge Front line personnel related to Swap Dealer activities. Oversee and credibly challenge the reporting, escalation and timely remediation of compliance-related issues, deficiencies, or regulatory matters. Direct the implementation of effective compliance strategies to assess key risks and anticipate regulatory issues; and identify opportunities to simplify and drive consistency of solutions to strengthen compliance risk management. Support effective coordination of compliance-related regulatory examinations and build and maintain effective relationships with applicable regulators. Foster an environment that ensures strong communication and cooperation across the three lines of defense, including business line leadership, Legal, Audit, Compliance, and other corporate stakeholders to facilitate transparency, balance and credible challenge. Sustain a strong risk culture that identifies and provides oversight and escalation of existing and emerging compliance issues across business groups, legal entities, geographies, and jurisdictions; and ensure that escalated compliance issues receive immediate senior management attention. Establish, implement and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements Oversee the Front Line's execution and challenges appropriately on compliance related decisions Provide regulatory compliance risk expertise and consulting for projects and initiatives with high risk over multiple business lines Identify and recommend opportunities for process improvement and risk control development Consult and engage business on developing corrective action plans and effectively managing regulatory change Report findings and make recommendations to management or directors and appropriate committees Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals Work with complex business units, rules and regulations on moderate to high-risk compliance matters Required Qualifications, 7+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education Desired Qualifications: Experience designing and executing a CFTC (Commodity Futures Trading Commission) Swap Dealer compliance program, including regulatory change management, risk identification and assessment processes, compliance issue management, new product/business review, complaint handling, compliance monitoring and reporting, compliance training. Expert-level knowledge of Swap Dealer regulations and associated compliance programs. Deep understanding of Title VII of the Dodd Frank Act, as well as industry and compliance risk-related best practices. Strong analytical, critical thinking and problem-solving skills, coupled with an ability to translate ambiguous ideas/issues into well-defined plans/solutions with a track-record for delivering results. Strong written and oral communication skills, including the ability to prepare reporting for senior management and regulatory authorities. Job Expectations: This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents Specific compliance policies may apply regarding outside activities and/or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process. Willingness to work on-site at stated location on the job opening. Not Eligible for Visa Sponsorships Job Posting Location: 550 S Tryon St , Charlotte, NC Posting End Date: 12 Oct 2025 *Job posting may come down early due to volume of applicants. We Value Equal Opportunity Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic. Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit’s risk appetite and all risk and compliance program requirements. Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process. Applicants with Disabilities To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo . Drug and Alcohol Policy Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more. Wells Fargo Recruitment and Hiring Requirements: a. Third-Party recordings are prohibited unless authorized by Wells Fargo. b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.

Job Description Summary Under intermittent supervision and with a high level of autonomy, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities or banking industry compliance to administer and to manage compliance functions related to Investment Advisor Representatives (IARs). Ensures alignment with SEC Regulations under the Investment Advisors Act of 1940. Leads major projects, programs, or processes with significant business impact. Influences strategic direction, develops tactical plans, and completes complex assignments with substantial latitude for un-reviewed actions or decisions. Provides comprehensive solutions to escalated problems or needs. Maintains extensive contact with internal customers and regulatory agencies to identify, research, analyze, and resolve complex issues. Job Description Essential Duties and Responsibilities Oversees compliance exception reporting processes and approves corrective actions. May coach, train, and mentor others Compliance associates. May assist with the development and implementation of continuing education and training programs for the department in conjunction with management. Schedules and oversees compliance processes including scheduling, training, and review of compliance reporting. Establishes objectives and develops processes and procedures to ensure adherence to all regulatory requirements. Monitors and reviews all reporting, audits, and correspondence. Partner with business units to recommend policy and process changes to Senior Management. Ensures effective coordination occurs within assigned work group and with other work groups. Identifies, recommends, and works with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems. Serves as a resource on compliance issues to clients and staff. May serve as a compliance liaison on various committees and projects representing the interest of the department. Attends and may deliver presentations at industry-related conferences. Researches regulatory updates to identify linkages and trends and apply findings. Identifies, recommends, and works with other areas of the firm to automate and streamline functions to improve operational efficiencies of compliance systems. Performs periodic reporting on compliance and operational issues as required. Assists in preparing the operational budgets for assigned functional area. Balances conflicting resource and priority demands. Performs other duties and responsibilities as assigned. Maintains department specific intranet information Assists with distribution of field facing and internal update communications Knowledge, Skills, and Abilities Advanced knowledge of: Concepts, practices, and procedures of securities industry and/or banking compliance. Rules and regulations of: Securities Exchange Commission (SEC), Investment Advisers Act of 1940 and SEC regulatory environment; Financial Industry Regulatory Authority (FINRA); state securities regulatory agencies; Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; state banking regulatory agencies. Investment concepts, practices and procedures used in the securities industry. Principles of banking and finance and securities industry operations. Financial markets and products. Advanced skill in: Administering regulatory notification and filings. Planning and scheduling work to meet regulatory organizational and regulatory requirements. Identifying and applying appropriate compliance monitoring procedures and tests. Preparing oral and/or written reports. Investigating compliances issues and irregularities. Making rule-based and analytical decisions. Strong verbal and written communication. Operating standard office equipment and using required software applications. Ability to: Coach and mentor others. Partner with other functional areas to accomplish objectives. Facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed. Attend to detail while maintaining a big picture orientation. Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities. Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels. Work independently as well as collaboratively within a team environment. Establish and maintain effective working relationships at all levels of the organization. Maintain confidentiality. Maintain currency in laws, rules and regulations related to compliance in assigned functional area. Interpret and apply policies and identify and recommend changes as appropriate. Quantitatively and/or qualitatively process data. Formulate and implement department strategies consistent with long-term company goals. Promote team cohesiveness, cooperation, and effectiveness. Educational/Previous Experience Requirements Bachelor’s degree (B.A. /B.S.) and a minimum of eight (8) years of experience in Compliance and/or the financial services industry preferred. ~or~ Any equivalent combination of experience, education, and/or training approved by Human Resources. Licenses/Certifications None Required. Series 65, 66, or equivalent preferred Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred. Education Work Experience Certifications Travel Less than 25% Workstyle Hybrid At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view. We expect our associates at all levels to: Grow professionally and inspire others to do the sameWork with and through others to achieve desired outcomes Make prompt, pragmatic choices and act with the client in mindTake ownership and hold themselves and others accountable for delivering results that matter Contribute to the continuous evolution of the firm At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs. #LI-AF1

JOB REQUISITION Charlotte- Risk & Compliance- Financial Crimes Compliance- Senior Consultant LOCATION CHARLOTTE ADDITIONAL LOCATION(S) JOB DESCRIPTION You Belong Here The Protiviti Career provides opportunity to learn, inspire, and advance within a collaborative and inclusive culture. We hire curious individuals for whom learning is a passion. We lean into our mission: We Care. We Collaborate. We Deliver. At every level, we champion leaders who live our values of integrity, inclusion, innovation, and commitment to success. Imagining our work as a journey, we believe integrity guides our way, inclusion moves us forward together, innovation creates new destinations, and our commitment to success empowers us to deliver on our vision to be the most trusted global consulting firm. Where We Need You Protiviti is looking for a Risk and Compliance Senior Consultant to join our growing Financial Crime Compliance team. Protiviti's Financial Services practice is widely recognized as a leading provider of consulting services across the three lines of defense for financial institutions. We empower our clients to be more effective and efficient in a way that is risk-sensitive, regulatory compliant, well controlled, and enabled by leading technologies. What You Can Expect As a Senior Consultant, you will be a mentor, trainer, and coach to Interns and Consultants as you facilitate the successful completion of project work plans. You'll identify areas of risk and opportunities to increase efficiency. You'll strengthen relationships and deepen your abilities to communicate, gain trust, and network with client personnel and professional associates. At the direction of Managers, you may accept responsibility for decision-making in areas including establishing project scope and work plans, project staffing, preparation of deliverables, and application of methodologies. By focusing on clients and engagements in the financial services industry, you'll partner with highly regulated clients and deepen your understanding of financial services regulations. What Will Help You Be Successful You enjoy identifying and assessing financial crime compliance issues within a business. You are motivated to learn and interested in all things related to operation and enterprise risk, including the latest trends and developments. You are passionate about building relationships with clients and providing clients with exceptional experiences. You have an inherent interest in project management and team leadership. You contribute to a positive team culture that fosters open communication among all engagement team members. You create development opportunities for others and ways for your team to improve our clients and communities. You have interest in working with a diverse portfolio of clients across the financial services industry. Do Your Talents Include the Following? Experience with or understanding of: Broad expertise in Financial Crime Compliance (FCC Lead assessments of financial crime risk controls and support regulatory certifications Manage implementation of enterprise-wide surveillance enhancements, including transaction monitoring and case management systems. Lead or support financial crime control testing and regulatory exam responses. Conduct audit planning, stakeholder engagement, and effectiveness testing across BSA/AML, sanctions, KYC/CDD, and onboarding controls Monitor and report on financial crime compliance activities. Oversee validation of corrective actions for regulatory MRAs related to KYC, EDD, and transaction monitoring. Your Educational and Professional Qualifications Bachelor's degree in Finance, Business, or a related field; advanced degree or certifications (e.g., CAMS, CFE) preferred. 5+ years of experience in financial crime compliance, audit, or consulting. Strong knowledge of AML, sanctions, fraud, and trade surveillance frameworks. Experience working with cryptocurrency or fintech clients is a plus. Proven ability to manage audits, regulatory exams, and cross-functional projects. Actimize experience is a plus. Being well-versed in Six Sigma methodologies is a plus. Our Hybrid Workplace Protiviti practices a hybrid model, which is a combination of working in person with a purpose and working remotely. This model creates meaningful experiences for our people and our clients while offering a flexible environment. The ratio of remote to in-person requirements vary by client, project, team, and other business factors. Our people work both in-person in local Protiviti offices and on client sites, which can include local or out-of-state travel based on our projects and client requests and commitments. #LI-Hybrid Protiviti is not registered to hire or employ personnel in the following states- West Virginia, Alaska. Starting salary is based on a full-time equivalent schedule. Placement in the range is dependent upon experience, skills and geographic work location. Below is the salary range for this job. $87,000.00 - $130,000.00 Our annual bonus plan provides eligible employees additional cash and/or discretionary stock compensation opportunities. Below is the bonus target opportunity for this job. 10% The total cash range is estimated from the sum of the base salary range plus the bonus target opportunity. Below is the estimated total cash range for this job. $95,700.00 - $143,000.00 Employees are eligible for medical, dental, and vision coverages, FSA and HSA healthcare accounts, life and accident insurance, adoption and fertility assistance, paid parental leave up to 10 weeks, and short/long term disability. We offer eligible employees a company 401(k) savings and investment plan with an employer match of 50% on the first 6% of your contributions. We provide Choice Time Off (CTO) for vacation, personal needs, and sick time. The amount of (CTO) varies based on years of service. New hires receive up to 20 days of CTO per calendar year. Protiviti also recognizes up to 11 paid holidays each calendar year. Learn more about the variety of rewards we offer at Protiviti at https://www.protiviti.com/sites/default/files/2025-01/2025_u.s._benefit_highlights.pdf . Any benefits outlined are part of our reward offerings for full-time employees in the U.S. Your Open Enrollment materials, insurance contracts, plan documents and Summary Plan Descriptions together comprise the official plan document which legally governs the administration of your benefit plans. Protiviti reserves the right to terminate or amend your benefit plans in any way and at any time. Protiviti is an Equal Opportunity Employer. M/F/Disability/Veteran As part of Protiviti's employment process, any offer of employment is contingent upon successful completion of a background check. Protiviti is committed to being an equal employment employer offering opportunities to all job seekers, including individuals with disabilities. If you believe you need a reasonable accommodation in order to search for a job opening or to apply for a position, please contact us by sending an email to HRSolutions@roberthalf.com or call 1.855.744.6947 for assistance. In your email please include the following: The specific accommodation requested to complete the employment application. The location(s) (city, state) to which you would like to apply. For positions located in San Francisco, CA: Protiviti will consider qualified applicants with criminal histories in a manner consistent with the requirements of the San Francisco Fair Chance Ordinance. For positions located in Los Angeles County, CA: Protiviti will consider for employment qualified applicants with arrest or conviction records in accordance with the Los Angeles County Fair Chance Ordinance for Employers and the California Fair Chance Act. Protiviti is not registered to hire or employ personnel in the following states- West Virginia, Alaska. Protiviti is not licensed or registered as a public accounting firm and does not issue opinions on financial statements or offer attestation services. JOB LOCATION NC CHARLOTTE

A Career with Point72's Compliance Department The Point72 Compliance department is an industry-leading team of compliance professionals who support global investment and trading activities by establishing and enforcing the firm's compliance policies, providing real-time advice, and conducting pre- and post-trade surveillance. Our team is essential to Point72's success and we provide mentorship, a growth path, and the opportunity for a long-term career with us. What you'll do Provide advisory compliance and legal support to the firm's research and data initiatives across all investment strategies, with particular focus on data, software, and advancing technological solutions Conduct due diligence reviews of potential data providers and software solutions including, but not limited to, applicable compliance policies; usage rights; authorization to sell, license, or share the data; and compliance with applicable federal and state laws Prepare due diligence memoranda Conduct diligence reviews of automated open-source program requests and document accordingly Provide compliance support and monitor research centric for discretionary investment, proprietary research, and quantitative investment strategy teams Negotiate data and research provider contracts Draft, enhance, and implement compliance best practices Collaborate internally with the broader Compliance department Advise key stakeholders and management on applicable regulatory developments and case law, and help draft and refine policies and training as required Assist with ad hoc legal and compliance issues, special projects, and strategic initiatives What's required 1-3 years of compliance experience in the financial services industry Juris Doctorate degree from an accredited law school and bar membership Strong verbal and written communication skills Strong analytical, problem-solving, planning, and organizational skills Attention to detail and the ability to handle multiple tasks simultaneously Commitment to the highest ethical standards We take care of our people We invest in our people, their careers, their health, and their well-being. When you work here, we provide: Fully-paid health care benefits Generous parental and family leave policies Volunteer opportunities Support for employee-led affinity groups representing women, people of color and the LGBTQ+ community Mental and physical wellness programs Tuition assistance A 401(k) savings program with an employer match and more About Point72 Point72 is a leading global alternative investment firm led by Steven A. Cohen. Building on more than 30 years of investing experience, Point72 seeks to deliver superior returns for its investors through fundamental and systematic investing strategies across asset classes and geographies. We aim to attract and retain the industry's brightest talent by cultivating an investor-led culture and committing to our people's long-term growth. For more information, visit https://point72.com/ . The annual base salary range for this role is $125,000-$175,000 (USD) , which does not include discretionary bonus compensation or our comprehensive benefits package. Actual compensation offered to the successful candidate may vary from posted hiring range based upon geographic location, work experience, education, and/or skill level, among other things.

PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients’ capital across a range of fixed income and credit opportunities, leveraging our decades of experience navigating complex debt markets. Our flexible capital base and deep relationships with issuers have helped us become one of the world’s largest providers of traditional and nontraditional solutions for companies that need financing and investors who seek strong risk-adjusted returns. Since 1971, our people have shaped our organization through a high-performance inclusive culture, in which we celebrate diverse thinking. We invest in our people and strive to imprint our CORE values of Collaboration, Openness, Responsibility and Excellence. We believe each of us is here to help others succeed and this has led to PIMCO being recognized as an innovator, industry thought leader and trusted advisor to our clients. Overview PIMCO is seeking a detail-oriented and proactive Marketing Compliance Officer to join its Legal and Compliance team in Austin. This role will focus on supporting the Marketing Review team, with a particular emphasis on alternatives and private fund content across various marketing channels, including social media. Key Responsibilities Review and monitor marketing and advertising materials to ensure compliance with regulatory requirements and internal policies, particularly for PIMCO’s investment advisory and distribution activities. Support special compliance projects and initiatives aimed at enhancing PIMCO’s global compliance programs and processes. Collaborate with cross-functional teams—including marketing, product management, and operations—as well as colleagues across global offices. Provide timely, practical compliance guidance in a fast-paced environment. Build strong internal relationships within the Legal & Compliance team and across the firm. Qualifications Bachelor’s degree or international equivalent required. Circa 3–5 years of marketing compliance experience within a large investment management firm or financial services company preferred. FINRA Series 7 and 24 licenses required. Strong understanding of regulatory frameworks including the Investment Advisers Act, Investment Company Act, and Broker-Dealer compliance. Experience reviewing a wide range of marketing materials (e.g., RFPs, fund literature, websites, social media, client presentations). Familiarity with diverse investment products and strategies, including mutual funds, ETFs, private funds, and alternatives. Proven ability to work independently while contributing to team initiatives. Strong project execution skills with attention to detail and tactical focus. Ability to thrive in a dynamic, high-pressure environment with shifting priorities. Demonstrated commitment to personal growth, accountability, and achieving results. About PIMCO Legal & Compliance With over 200 professionals globally, PIMCO’s Legal & Compliance department operates across all regions where the firm has a presence. The team collaborates closely to deliver integrated solutions to complex legal and compliance challenges. PIMCO follows a total compensation approach when rewarding employees which includes a base salary and a discretionary bonus. Base salary is the fixed component of compensation that is determined by core job responsibilities, relevant experience, internal level, and market factors. The discretionary bonus is used to award performance and therefore is determined by company, business, team, and individual performance.Salary Range: $ 100,000.00 - $ 135,000.00 Equal Employment Opportunity and Affirmative Action Statement PIMCO recruits and hires qualified candidates without regard to race, national origin, ancestry, religion (including religious dress and grooming practices), sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), sexual orientation, gender (including gender identity and expression), age, military or veteran status, disability (physical or mental), any factor prohibited by law, and as such affirms in policy and practice to support and promote the concept of equal employment opportunity and affirmative action, in accordance with all applicable federal, state, provincial and municipal laws. The company also prohibits discrimination on other basis such as medical condition, or marital status under applicable laws. Applicants with Disabilities PIMCO is an Equal Employment Opportunity/Affirmative Action employer. We provide reasonable accommodation for qualified individuals with disabilities, including veterans, in job application procedures. If you have any difficulty using our online system due to a disability and you would like to request an accommodation, you may contact us at 949-720-7744 and leave a message. This is a dedicated line designed exclusively to assist job seekers with disabilities to apply online. Only messages left for this purpose will be considered. A response to your request may take up to two business days.

JOB REQUISITION Charlotte- Risk & Compliance- Financial Crimes Compliance- Senior Consultant LOCATION CHARLOTTE ADDITIONAL LOCATION(S) JOB DESCRIPTION You Belong Here The Protiviti Career provides opportunity to learn, inspire, and advance within a collaborative and inclusive culture. We hire curious individuals for whom learning is a passion. We lean into our mission: We Care. We Collaborate. We Deliver . At every level, we champion leaders who live our values of integrity, inclusion, innovation, and commitment to success . Imagining our work as a journey, we believe integrity guides our way, inclusion moves us forward together, innovation creates new destinations, and our commitment to success empowers us to deliver on our vision to be the most trusted global consulting firm. Where We Need You Protiviti is looking for a Risk and Compliance Senior Consultant to join our growing Financial Crime Compliance team. Protiviti’s Financial Services practice is widely recognized as a leading provider of consulting services across the three lines of defense for financial institutions. We empower our clients to be more effective and efficient in a way that is risk-sensitive, regulatory compliant, well controlled, and enabled by leading technologies. What You Can Expect As a Senior Consultant, you will be a mentor, trainer, and coach to Interns and Consultants as you facilitate the successful completion of project work plans. You’ll identify areas of risk and opportunities to increase efficiency. You’ll strengthen relationships and deepen your abilities to communicate, gain trust, and network with client personnel and professional associates. At the direction of M anagers, you may accept responsibility for decision-making in areas including establishing project scope and work plans, project staffing, preparation of deliverables, and application of methodologies. By focusing on clients and engagements in the financial services industry, you’ll partner with highly regulated clients and deepen your understanding of financial services regulations. What Will Help You Be Successful You enjoy identifying and assessing financial crime compliance issues within a business . You are motivated to learn and interested in all things related to operation and enterprise risk , including the latest trends and developments. You are passionate about building relationships with clients and providing clients with exceptional experiences. You have an inherent interest in project management and team leadership. You contribute to a positive team culture that fosters open communication among all engagement team members. You create development opportunities for others and ways for your team to improve our clients and communities. You have interest in working with a diverse portfolio of clients across the financial services industry . Do Your Talents Include the Following? Experience with or understanding of: B road expertise in Financial Crime Compliance (FCC Lead assessments of financial crime risk controls and support regulatory certifications Manage implementation of enterprise-wide surveillance enhancements, including transaction monitoring and case management systems. Lead or support financial crime control testing and regulatory exam responses. Conduct audit planning, stakeholder engagement, and effectiveness testing across BSA/AML, sanctions, KYC/CDD, and onboarding controls Monitor and report on financial crime compliance activities. Oversee validation of corrective actions for regulatory MRAs related to KYC, EDD, and transaction monitoring. Your Educational and Professional Qualifications Bachelor’s degree in Finance , Business, or a related field; advanced degree or certifications (e.g., CAMS, CFE) preferred. 5+ years of experience in financial crime compliance, audit, or consulting. Strong knowledge of AML, sanctions, fraud, and trade surveillance frameworks. Experience working with cryptocurrency or fintech clients is a plus. Proven ability to manage audits, regulatory exams, and cross-functional projects. Actimize experience is a plus. Being well-versed in Six Sigma methodologies is a plus. Our Hybrid Workplace Protiviti practices a hybrid model, which is a combination of working in person with a purpose and working remotely. This model creates meaningful experiences for our people and our clients while offering a flexible environment. The ratio of remote to in-person requirements vary by client, project, team, and other business factors. Our people work both in-person in local Protiviti offices and on client sites, which can include local or out-of-state travel based on our projects and client requests and commitments . #LI-Hybrid Protiviti is not registered to hire or employ personnel in the following states – West Virginia, Alaska. Starting salary is based on a full-time equivalent schedule. Placement in the range is dependent upon experience, skills and geographic work location. Below is the salary range for this job. $87,000.00 - $130,000.00 Our annual bonus plan provides eligible employees additional cash and/or discretionary stock compensation opportunities. Below is the bonus target opportunity for this job. 10% The total cash range is estimated from the sum of the base salary range plus the bonus target opportunity. Below is the estimated total cash range for this job. $95,700.00 - $143,000.00 Employees are eligible for medical, dental, and vision coverages, FSA and HSA healthcare accounts, life and accident insurance, adoption and fertility assistance, paid parental leave up to 10 weeks, and short/long term disability. We offer eligible employees a company 401(k) savings and investment plan with an employer match of 50% on the first 6% of your contributions. We provide Choice Time Off (CTO) for vacation, personal needs, and sick time. The amount of (CTO) varies based on years of service. New hires receive up to 20 days of CTO per calendar year. Protiviti also recognizes up to 11 paid holidays each calendar year. Learn more about the variety of rewards we offer at Protiviti at https://www.protiviti.com/sites/default/files/2025-01/2025_u.s._benefit_highlights.pdf . Any benefits outlined are part of our reward offerings for full-time employees in the U.S. Your Open Enrollment materials, insurance contracts, plan documents and Summary Plan Descriptions together comprise the official plan document which legally governs the administration of your benefit plans. Protiviti reserves the right to terminate or amend your benefit plans in any way and at any time. Protiviti is an Equal Opportunity Employer. M/F/Disability/Veteran As part of Protiviti’s employment process, any offer of employment is contingent upon successful completion of a background check. Protiviti is committed to being an equal employment employer offering opportunities to all job seekers, including individuals with disabilities. If you believe you need a reasonable accommodation in order to search for a job opening or to apply for a position, please contact us by sending an email to HRSolutions@roberthalf.com or call 1.855.744.6947 for assistance. In your email please include the following: The specific accommodation requested to complete the employment application. The location(s) (city, state) to which you would like to apply. For positions located in San Francisco, CA: Protiviti will consider qualified applicants with criminal histories in a manner consistent with the requirements of the San Francisco Fair Chance Ordinance. For positions located in Los Angeles County, CA: Protiviti will consider for employment qualified applicants with arrest or conviction records in accordance with the Los Angeles County Fair Chance Ordinance for Employers and the California Fair Chance Act. Protiviti is not registered to hire or employ personnel in the following states – West Virginia, Alaska. Protiviti is not licensed or registered as a public accounting firm and does not issue opinions on financial statements or offer attestation services. JOB LOCATION NC CHARLOTTE

Position Information Hiring Manager: Senior Counsel Department: Legal & Compliance Position Responsibilities The Firm acts as an investment adviser to onshore and offshore private funds, managed accounts and both public and private business development companies. The Firm is seeking a Senior Compliance Officer to lead certain aspects of the Firm's compliance program. A thorough understanding of the Firm's products, services and regulatory framework is necessary in this role. This person will lead and manage routine and special projects on behalf of the broader Legal & Compliance Department. Primary responsibilities of this position will be: Act as subject matter expert overseeing monitoring and testing of the Firm's regulatory compliance controls Establish and enhance compliance standards and design and implement improvements to internal control structures Develop and execute special or enhanced monitoring and testing techniques for new, complex or high-risk requirements, or in response to certain weaknesses discovered through routine assessments, testing, audits or exams Manage and complete regulatory filings Review advertising and sales materials, correspondence, investor communications and investor reports and other documents to ensure that these materials meet SEC advertising regulations and other regulatory rules, as applicable, and internal quality control standards Investigate and resolve compliance-related issues and advise Senior Management and Board on compliance matters Assess control design and effectiveness to mitigate compliance risk Manage certain special projects related to the Legal & Compliance Department as needed, e.g., policy updates due to regulatory changes, research and recommend solutions related to compliance matters Serve as a subject matter expert on the implementation and execution of testing regulatory compliance controls Effectively communicate compliance-related issues requiring management attention Stay apprised of regulatory matters and developments through reading, research and training through online webinars and conferences and assist with exam preparedness efforts Collaborate internally with other members of the Legal & Compliance Department to ensure consistent standards and effective communication Candidate Requirements Qualifications & Experience: Bachelor's degree or equivalent education required; JD from a top-tier institution is preferred but not required At least 8 years of relevant experience including experience with the Investment Advisers Act of 1940 and / or the Investment Company Act of 1940 Knowledge and understanding of regulatory and industry best practices developments, particularly in the areas of compliance, corporate governance and risk management Preference for previous exposure to, and broad understanding of, the credit asset management business Strong analytical skills with experience in prioritization, issue identification and resolution Strong project management skills, ability to review materials quickly and ability to drive and meet deadlines Skilled in business writing and editing with strong attention to detail Quick learner who has an ability to grasp complicated financial concepts Capacity and passion for being part of a fast-growing, multi-office environment Team oriented with the ability to build relationships and earn the respect of others Self-starter with the ability to manage projects independently Ability to handle sensitive matters at all levels of the organization with discretion and confidentiality Ability to anticipate and react quickly to the evolving financial services regulatory environment Demonstrated knowledge base and stature to deliver solution-oriented advice in a manner that is respected and valued by business and staff group leaders and constituents Enthusiastic about working in office and creating a Gold Standard hybrid work culture Critical Competencies for Success Our Gold Standards Model defines key behaviors and competencies across 4 dimensions: Leadership, Achieving Results, Personal Effectiveness and Thinking Critically. These behaviors and competencies drive our ability to win together. Leadership: Role models in this area consistently focus on the right goals and priorities and continually develop themselves and others. Always team players, they influence and engage with others to contribute to a supportive and inclusive culture where all feel welcome. Achieving Results: Role models in this area are high achievers who develop careful plans and deliver consistently and effectively. They hold themselves and others accountable for delivering high quality results, and they remove barriers to ensure others can contribute and grow. Personal Effectiveness: Role models in this area build strong relationships, treat others with respect and communicate effectively. They are driven to exceed expectations and are adaptable to changing circumstances. Thinking Critically: Role models in this area understand our business, rely on analytical reasoning and seek diverse perspectives to solve problems. They are forward thinking, anticipating issues and addressing them in advance. The department-specific competencies define the knowledge, skills and abilities that are needed to successfully perform the functional or technical work of this role. Industry Knowledge: Demonstrates an understanding of the Firm's position in the industry, including its complex structure and competitive advantage in the marketplace. Monitors industry trends and changes and recognizes their relevancy and implications. Technical Communication and Documentation: Documents and communicates technical processes and procedures in area of specialty to stakeholders. Adapts the level of detail and specificity based on the needs of the intended audience. Compliance: Ensures compliance with laws and regulations and stays current with legislative and regulatory changes that impact the Firm. Contract Management: Leverages an understanding of the regulatory, legal and compliance elements of contracting to interpret and ensure adherence to contract agreements throughout the lifecycle of agreements. Negotiation: Applies advanced negotiating techniques and a consultative approach with customers and internal stakeholders to compliantly create measurable short- and long-term values that leads to mutually beneficial outcomes. Project / Program Management: Manages projects and / or programs through planning, identifying resources, monitoring and communicating project activities and assessing impacts of project decisions. Compensation and Benefits For Illinois Only: It is expected that the base salary range for this position will be $220,000 to $280,000 for a Senior Compliance Officer and $150,000 to $200,000 for a Compliance Officer. Actual salaries may vary based on factors such as skills, experiences and qualifications for the role. The total compensation package for this position may also include other elements and discretionary awards in addition to a full range of medical, financial and / or other benefits (including 401(k) eligibility and various paid time off benefits such as vacation, sick time and parental leave) dependent on the position offered. Details of participation in these benefit plans will be provided if an employee receives an offer of employment. If hired, the employee will be in an 'at-will position' and the Firm reserves the right to modify base salary (as well as any other discretionary payment or compensation program) at any time including for reasons related to individual performance, Firm or individual department / team performance and market factors. Golub Capital is an Equal Opportunity Employer. Due to the highly regulated nature of Golub Capital's business and because of the sensitivity of the information that all personnel have access to, Golub Capital performs extensive and thorough pre-hire screens to ensure that its personnel act with expected levels of integrity, professionalism and personal responsibility.

JOB REQUISITION Charlotte- Risk & Compliance- Financial Crimes Compliance- Senior Consultant LOCATION CHARLOTTE ADDITIONAL LOCATION(S) JOB DESCRIPTION You Belong Here The Protiviti Career provides opportunity to learn, inspire, and advance within a collaborative and inclusive culture. We hire curious individuals for whom learning is a passion. We lean into our mission: We Care. We Collaborate. We Deliver . At every level, we champion leaders who live our values of integrity, inclusion, innovation, and commitment to success . Imagining our work as a journey, we believe integrity guides our way, inclusion moves us forward together, innovation creates new destinations, and our commitment to success empowers us to deliver on our vision to be the most trusted global consulting firm. Where We Need You Protiviti is looking for a Risk and Compliance Senior Consultant to join our growing Financial Crime Compliance team. Protiviti’s Financial Services practice is widely recognized as a leading provider of consulting services across the three lines of defense for financial institutions. We empower our clients to be more effective and efficient in a way that is risk-sensitive, regulatory compliant, well controlled, and enabled by leading technologies. What You Can Expect As a Senior Consultant, you will be a mentor, trainer, and coach to Interns and Consultants as you facilitate the successful completion of project work plans. You’ll identify areas of risk and opportunities to increase efficiency. You’ll strengthen relationships and deepen your abilities to communicate, gain trust, and network with client personnel and professional associates. At the direction of M anagers, you may accept responsibility for decision-making in areas including establishing project scope and work plans, project staffing, preparation of deliverables, and application of methodologies. By focusing on clients and engagements in the financial services industry, you’ll partner with highly regulated clients and deepen your understanding of financial services regulations. What Will Help You Be Successful You enjoy identifying and assessing financial crime compliance issues within a business . You are motivated to learn and interested in all things related to operation and enterprise risk , including the latest trends and developments. You are passionate about building relationships with clients and providing clients with exceptional experiences. You have an inherent interest in project management and team leadership. You contribute to a positive team culture that fosters open communication among all engagement team members. You create development opportunities for others and ways for your team to improve our clients and communities. You have interest in working with a diverse portfolio of clients across the financial services industry . Do Your Talents Include the Following? Experience with or understanding of: B road expertise in Financial Crime Compliance (FCC Lead assessments of financial crime risk controls and support regulatory certifications Manage implementation of enterprise-wide surveillance enhancements, including transaction monitoring and case management systems. Lead or support financial crime control testing and regulatory exam responses. Conduct audit planning, stakeholder engagement, and effectiveness testing across BSA/AML, sanctions, KYC/CDD, and onboarding controls Monitor and report on financial crime compliance activities. Oversee validation of corrective actions for regulatory MRAs related to KYC, EDD, and transaction monitoring. Your Educational and Professional Qualifications Bachelor’s degree in Finance , Business, or a related field; advanced degree or certifications (e.g., CAMS, CFE) preferred. 5+ years of experience in financial crime compliance, audit, or consulting. Strong knowledge of AML, sanctions, fraud, and trade surveillance frameworks. Experience working with cryptocurrency or fintech clients is a plus. Proven ability to manage audits, regulatory exams, and cross-functional projects. Actimize experience is a plus. Being well-versed in Six Sigma methodologies is a plus. Our Hybrid Workplace Protiviti practices a hybrid model, which is a combination of working in person with a purpose and working remotely. This model creates meaningful experiences for our people and our clients while offering a flexible environment. The ratio of remote to in-person requirements vary by client, project, team, and other business factors. Our people work both in-person in local Protiviti offices and on client sites, which can include local or out-of-state travel based on our projects and client requests and commitments . #LI-Hybrid Protiviti is not registered to hire or employ personnel in the following states – West Virginia, Alaska. Starting salary is based on a full-time equivalent schedule. Placement in the range is dependent upon experience, skills and geographic work location. Below is the salary range for this job. $87,000.00 - $130,000.00 Our annual bonus plan provides eligible employees additional cash and/or discretionary stock compensation opportunities. Below is the bonus target opportunity for this job. 10% The total cash range is estimated from the sum of the base salary range plus the bonus target opportunity. Below is the estimated total cash range for this job. $95,700.00 - $143,000.00 Employees are eligible for medical, dental, and vision coverages, FSA and HSA healthcare accounts, life and accident insurance, adoption and fertility assistance, paid parental leave up to 10 weeks, and short/long term disability. We offer eligible employees a company 401(k) savings and investment plan with an employer match of 50% on the first 6% of your contributions. We provide Choice Time Off (CTO) for vacation, personal needs, and sick time. The amount of (CTO) varies based on years of service. New hires receive up to 20 days of CTO per calendar year. Protiviti also recognizes up to 11 paid holidays each calendar year. Learn more about the variety of rewards we offer at Protiviti at https://www.protiviti.com/sites/default/files/2025-01/2025_u.s._benefit_highlights.pdf . Any benefits outlined are part of our reward offerings for full-time employees in the U.S. Your Open Enrollment materials, insurance contracts, plan documents and Summary Plan Descriptions together comprise the official plan document which legally governs the administration of your benefit plans. Protiviti reserves the right to terminate or amend your benefit plans in any way and at any time. Protiviti is an Equal Opportunity Employer. M/F/Disability/Veteran As part of Protiviti’s employment process, any offer of employment is contingent upon successful completion of a background check. Protiviti is committed to being an equal employment employer offering opportunities to all job seekers, including individuals with disabilities. If you believe you need a reasonable accommodation in order to search for a job opening or to apply for a position, please contact us by sending an email to HRSolutions@roberthalf.com or call 1.855.744.6947 for assistance. In your email please include the following: The specific accommodation requested to complete the employment application. The location(s) (city, state) to which you would like to apply. For positions located in San Francisco, CA: Protiviti will consider qualified applicants with criminal histories in a manner consistent with the requirements of the San Francisco Fair Chance Ordinance. For positions located in Los Angeles County, CA: Protiviti will consider for employment qualified applicants with arrest or conviction records in accordance with the Los Angeles County Fair Chance Ordinance for Employers and the California Fair Chance Act. Protiviti is not registered to hire or employ personnel in the following states – West Virginia, Alaska. Protiviti is not licensed or registered as a public accounting firm and does not issue opinions on financial statements or offer attestation services. JOB LOCATION NC CHARLOTTE

JOB REQUISITION New York- Risk & Compliance- Financial Crimes Compliance- Manager LOCATION NEW YORK CITY ADDITIONAL LOCATION(S) JOB DESCRIPTION You Belong Here The Protiviti Career provides opportunity to learn, inspire, and advance within a collaborative and inclusive culture. We hire curious individuals for whom learning is a passion. We lean into our mission: We Care. We Collaborate. We Deliver . At every level, we champion leaders who live our values of integrity, inclusion, innovation, and commitment to success . Imagining our work as a journey, we believe integrity guides our way, inclusion moves us forward together, innovation creates new destinations, and our commitment to success empowers us to deliver on our vision to be the most trusted global consulting firm. Where We Need You Protiviti is looking for a Risk and Compliance Manager to join our growing Financial Crime Compliance team. Protiviti’s Financial Services practice is widely recognized as a leading provider of consulting services across the three lines of defense for financial institutions. We empower our clients to be more effective and efficient in a way that is risk-sensitive, regulatory compliant, well controlled, and enabled by leading technologies. What You Can Expect As a Manager , you’ll partner with our clients to solve complex business problems and provide impactful advice and solutions. You’ll develop lasting relationships with client personnel and further these relationships through quality product delivery. You’ll foster a network within the business community and serve as an ambassador of Protiviti in the market. You will also be a mentor, trainer, and coach to Consultants and Senior Consultants as you facilitate the successful completion of project work plans. By focusing on clients and engagements in the financial services industry, you’ll partner with highly regulated clients and deepen your understanding of financial services regulations. What Will Help You Be Successful You enjoy identifying and assessing financial crime compliance issues within a business . You are motivated to learn and interested in all things related to financial crimes compliance , including the latest trends and developments. You are passionate about building relationships with clients and providing clients with exceptional experiences. You create development opportunities for others and ways for your team to improve our clients and communities. You have interest in working with a diverse portfolio of clients across the financial services industry . Do Your Talents Include the Following? Experience with or understanding of: Financial crime compliance programs including AML, BSA, OFAC, and fraud investigations. Model validations and tuning for transaction monitoring (TM), sanctions screening, and customer risk rating (CRR) systems using tools such as R, SQL, and Python. Statistical modeling techniques including multi-variable regression, clustering (K-Means), and correlation analysis to optimize financial crime detection systems. Development and implementation of Enhanced Due Diligence (EDD), Suspicious Activity Reporting (SAR), and alert investigation workflows. Integration and automation of data from KYC and transaction monitoring systems (e.g., Verafin , Actimize, Prime, FCRM, ECM, SAS ). E valuat ing , summariz ing , organiz ing , and interpret ing data. Your Educational and Professional Qualifications Bachelor’s degree in a relevant discipline ( business, finance, or a related field). 5 + years working in financial crime risk, compliance, or audit either in professional services or the financial services industry. Certified Anti-Money Laundering Specialist (CAMS) with extensive experience in BSA/AML/OFAC/Fraud compliance across diverse financial institutions. Proven expertise in model validation, tuning, and optimization for transaction monitoring and sanctions screening systems using R, SQL, and Python. Proficient in integrating data from KYC and transaction monitoring systems (e.g., Verafin , Actimize, Prime, FCRM, ECM, SAS) to streamline reporting. Professional Certification such as Certified Fraud Examiner (CFE), Certified Anti-Money Laundering Specialist (CAMS), Certified Internal Auditor (CIA), Certified Public Accountant (CPA), or relevant certification are a plus. Our Hybrid Workplace Protiviti practices a hybrid model, which is a combination of working in person with a purpose and working remotely. This model creates meaningful experiences for our people and our clients while offering a flexible environment. The ratio of remote to in-person requirements vary by client, project, team, and other business factors. Our people work both in-person in local Protiviti offices and on client sites, which can include local or out-of-state travel based on our projects and client requests and commitments . #LI-Hybrid Protiviti is not registered to hire or employ personnel in the following states – West Virginia, Alaska. Starting salary is based on a full-time equivalent schedule. Placement in the range is dependent upon experience, skills and geographic work location. Below is the salary range for this job. $119,000.00 - $190,000.00 Our annual bonus plan provides eligible employees additional cash and/or discretionary stock compensation opportunities. Below is the bonus target opportunity for this job. 12% The total cash range is estimated from the sum of the base salary range plus the bonus target opportunity. Below is the estimated total cash range for this job. $133,280.00 - $212,800.00 Employees are eligible for medical, dental, and vision coverages, FSA and HSA healthcare accounts, life and accident insurance, adoption and fertility assistance, paid parental leave up to 10 weeks, and short/long term disability. We offer eligible employees a company 401(k) savings and investment plan with an employer match of 50% on the first 6% of your contributions. We provide Choice Time Off (CTO) for vacation, personal needs, and sick time. The amount of (CTO) varies based on years of service. New hires receive up to 20 days of CTO per calendar year. Protiviti also recognizes up to 11 paid holidays each calendar year. Learn more about the variety of rewards we offer at Protiviti at https://www.protiviti.com/sites/default/files/2025-01/2025_u.s._benefit_highlights.pdf . Any benefits outlined are part of our reward offerings for full-time employees in the U.S. Your Open Enrollment materials, insurance contracts, plan documents and Summary Plan Descriptions together comprise the official plan document which legally governs the administration of your benefit plans. Protiviti reserves the right to terminate or amend your benefit plans in any way and at any time. Protiviti is an Equal Opportunity Employer. M/F/Disability/Veteran As part of Protiviti’s employment process, any offer of employment is contingent upon successful completion of a background check. Protiviti is committed to being an equal employment employer offering opportunities to all job seekers, including individuals with disabilities. If you believe you need a reasonable accommodation in order to search for a job opening or to apply for a position, please contact us by sending an email to HRSolutions@roberthalf.com or call 1.855.744.6947 for assistance. In your email please include the following: The specific accommodation requested to complete the employment application. The location(s) (city, state) to which you would like to apply. For positions located in San Francisco, CA: Protiviti will consider qualified applicants with criminal histories in a manner consistent with the requirements of the San Francisco Fair Chance Ordinance. For positions located in Los Angeles County, CA: Protiviti will consider for employment qualified applicants with arrest or conviction records in accordance with the Los Angeles County Fair Chance Ordinance for Employers and the California Fair Chance Act. Protiviti is not registered to hire or employ personnel in the following states – West Virginia, Alaska. Protiviti is not licensed or registered as a public accounting firm and does not issue opinions on financial statements or offer attestation services. JOB LOCATION NY PRO NEW YORK CITY

COMPANY OVERVIEW KKR is a leading global investment firm that offers alternative asset management as well as capital markets and insurance solutions. KKR aims to generate attractive investment returns by following a patient and disciplined investment approach, employing world-class people, and supporting growth in its portfolio companies and communities. KKR sponsors investment funds that invest in private equity, credit and real assets and has strategic partners that manage hedge funds. KKR's insurance subsidiaries offer retirement, life and reinsurance products under the management of Global Atlantic Financial Group. References to KKR's investments may include the activities of its sponsored funds and insurance subsidiaries. POSITION OVERVIEW The Senior Compliance Officer- Marketing Review will support the Company's compliance program, with a particular emphasis on the Advertising and Marketing Review function of our asset management and insurance businesses. The position will also support other areas of the KKR compliance program such as private placement filings, lobbyist disclosures, reporting, RFPs, DDQs, social media, and additional aspects of program management. The Senior Compliance Officer- Marketing Review will join the Compliance team in Boston, MA, and must be comfortable working with a geographically dispersed team. IDEAL EXPERIENCE This Associate should bring a minimum of at least three years conducting marketing/advertising review for a broker-dealer, independent marketing organization, asset management firm, or an insurance carrier (preferably annuity). Ideal candidates would bring experience in the alternative asset management space including private equity, private credit, interval funds, etc., as well as insurance. RESPONSIBILITIES Build and maintain strong relationships within the Compliance, Legal, Product, and Marketing Departments on a global basis Build and maintain strong relationships with internal customers striving always to find business-friendly but compliant solutions to daily work. Be an active contributor and collaborator on daily tasks and larger projects, as assigned. Understand KKR and Global Atlantic's business processes, products and regulatory obligations and apply that understanding to tasks assigned. Support management and team and actively contribute to a positive work environment that is collaborative and encouraging. Identify and recommend process improvements that reduce workloads and improve quality for the existing process. Establish strong working relationships within the broader KKR organization. Seek out knowledge and provide prompt and accurate responses to inquiries. Help to identify and develop AI tools and workflows QUALIFICATIONS Required: Have or obtain shortly after starting FINRA Series 7 & 24 licenses. Bachelor's Degree (or relevant work experience equivalent). At least 3 years in a financial services role (preferably in broker-dealer, investment advisor, alternative asset manager, insurance company, or independent marketing organization (IMO). Ability to make decisions, use independent judgment, establish priorities and work effectively on multiple initiatives concurrently while maintaining strict attention to detail. Experienced communicator (written and oral). Ability to work with a geographically dispersed team. Capacity to consider, process and filter large amounts of complex information quickly and identify appropriate actions in a fast-paced environment. Ability to work across enterprises and present complex matters to internal colleagues, management, or business leaders. A willingness to accept directions from leaders and peers. A strong desire to work well with others. Strong communication skills, work ethics and high level of personal integrity and accountability Self-starter and have a desire for knowledge. Business knowledge and acumen. Demonstrates the ability to use sound judgment and discretion regarding confidential information. This is the expected annual base salary range for this Boston-based position. Actual salaries may vary based on factors, such as skill, experience, and qualification for the role. Employees may be eligible for a discretionary bonus, based on factors such as individual and team performance. Base Salary Range $140,000 - $175,000 USD KKR is an equal opportunity employer. Individuals seeking employment are considered without regard to race, color, religion, national origin, age, sex, marital status, ancestry, physical or mental disability, veteran status, sexual orientation, or any other category protected by applicable law.

El Camino Health is committed to hiring, retaining and growing the best and brightest professionals who will carry our mission and vision forward. We are proud of our reputation in the community: One built on compassion, innovation, collaboration and delivering high-quality care. Come join the team that makes this happen. Applicants MUST apply for position(s) by submitting a separate application for each individual job posting number they are interested in being considered for. FTE 1 Scheduled Bi-Weekly Hours 80 Work Shift Day: 8 hours Job Description The Compliance Internal Auditor position is responsible for designing, implementing, conducting, and overseeing the internal audit work plan across the organization. Proactively monitor and audit to test and confirm compliance with regulatory requirements and the organization's policies. Prepare detailed work papers in accordance with established audit guidelines for areas of billing, operations, IT, privacy, compliance and other areas as identified. Report audit findings or activities to the Hospital Board of Directors Compliance Internal Audit committee. Assess, analyze and recommend process changes to support a strong corporate compliance program. Perform follow up procedures to determine whether recommendations have been implemented. Support continuous auditing and monitoring of identified compliance risks. Perform audits in compliance with the standards of association of healthcare internal auditors. Qualifications Bachelors degree in healthcare administration, business administration/ IT, public health law or related discipline, OR High School degree with four (4) years of healthcare or compliance experience in addition to the requirements below. Five (5) years experience in healthcare administration compliance with a minimum of two (2) years work experience in healthcare auditing in a healthcare setting or with a provider of services to the healthcare industry. Familiarity with healthcare laws, CMS regulations, IIA standards, and AHIA guidelines. Excellent communication skills, both oral and written. Demonstrated numerical aptitude and attention to detail, analytical and problem-solving skills. Demonstrated intermediate-level computer skills in MS Outlook, Word, Power Point, and Excel. License/Certification/Registration Requirements Certified in Healthcare Compliance (CHC) or Certified Healthcare Internal Audit Professional (CHIAP), preferred. Salary Range: $47.95 - $71.93 USD Hourly The Physical Requirements and Working Conditions of this job are available. El Camino Health will provide reasonable accommodations to qualified individuals with a disability if that will allow them to perform the essential functions of a job unless doing so creates an undue hardship for the hospital, or causes a direct threat to these individuals or others in the workplace which cannot be eliminated by reasonable accommodation. Sedentary Work - Duties performed mostly while sitting; walking and standing at times. Occasionally lift or carry up to 10 lbs. Uses hands and fingers. - (Physical Requirements-United States of America) An Equal Opportunity Employer: El Camino Health seeks and values a diverse workforce. The organization is an equal opportunity employer and makes employment decisions on the basis of qualifications and competencies. El Camino Health prohibits discrimination in employment based on race, ancestry, national origin, color, sex, sexual orientation, gender identity, religion, disability, marital status, age, medical condition or any other status protected by law. In addition to state and federal law, El Camino Health also follows all applicable fair and equitable employment policies from the County of Santa Clara.

General Summary The Compliance Analyst I - Product Compliance supports the implementation and oversight of regulatory compliance for consumer lending products. This role works closely with senior compliance staff to advise business partners on applicable laws, regulations, and internal policies. The analyst serves as a subject matter expert on key compliance initiatives, participates in company projects as a compliance stakeholder, and conducts monitoring activities to identify unusual consumer activity and recommend monitor improvements. Success in this role requires strong attention to detail, ongoing drive to learn, and a commitment to delivering high-quality results. Principal Duties and Responsibilities Provide compliance-related support to business units, as assigned. Conduct investigations of unusual activity and help identify potential improvements to monitoring systems. Assist in researching and interpreting laws, rules, and regulations relevant to consumer lending products. Support the review of internal processes to help ensure compliance with applicable requirements. Assist in remediation efforts for identified compliance issues in partnership with Product and other teams. Develop subject matter knowledge of the company's products and related compliance obligations. Collaborate with senior compliance staff and other departments to support compliance initiatives. Participate as needed in compliance-related testing activities. Stay informed about relevant regulatory updates and industry best practices. Perform other duties as assigned. Experience and Education Bachelor's degree or equivalent combination of education and experience; a minimum of 1 year of experience in consumer regulatory compliance within the financial service industry. Experience in a consumer financial services environment required, including experience with consumer lending regulations, such as BSA, TILA, ECOA, FCRA, FDCPA, EFTA, GLBA, and TCPA. Ability to develop and adapt SQL queries is a plus. Familiarity with Microsoft Office tools, especially Excel, Word, and PowerPoint. Required Skills, Abilities, Soft Skill Factors Strong attention to detail and organizational skills. Good written and verbal communication skills. Ability to manage multiple tasks and meet deadlines with guidance. Ability to work collaboratively with team members and cross-functional partners. Willingness to learn and apply regulatory knowledge in a practical setting. Basic understanding of consumer protection laws and regulations is a plus. California Employee Privacy Policy | Family & Medical Leave Act | Employee Polygraph Protection Act |E-Verify #LI-BJ1

A Career with Point72’s Compliance Department The Point72 Compliance department is an industry-leading team of compliance professionals who support global investment and trading activities by establishing and enforcing the firm’s compliance policies, providing real-time advice, and conducting pre- and post-trade surveillance. Our team is essential to Point72’s success and we provide mentorship, a growth path, and the opportunity for a long-term career with us. What you’ll do Conduct the firm’s annual compliance audit, and coordinate with internal Compliance colleagues Develop and maintain a library of exchange rules and regulatory enforcement actions Review and update certain compliance and trading policies What’s required Bachelor's degree from an accredited college or university GPA 3.0 or greater Exceptional attention to detail, strong organizational skills, and a structured, process-driven approach, with the ability to work independently or collaboratively Ability to manage and prioritize multiple tasks and see each task to completion Exceptional reading and writing skills, as well as outstanding communication and interpersonal skills Commitment to the highest ethical standards We take care of our people We invest in our people, their careers, their health, and their well-being. We want you to concentrate on success and leave the rest to us. When you work here, we provide: Fully-paid health care benefits Generous parental and family leave policies Volunteer opportunities Support for employee-led affinity groups representing women, people of color and the LGBTQ+ community Mental and physical wellness programs Tuition assistance A 401(k) savings program with an employer match and more About Point72 Point72 is a leading global alternative investment firm led by Steven A. Cohen. Building on more than 30 years of investing experience, Point72 seeks to deliver superior returns for its investors through fundamental and systematic investing strategies across asset classes and geographies. We aim to attract and retain the industry’s brightest talent by cultivating an investor-led culture and committing to our people’s long-term growth. For more information, visit https://point72.com/ .

Collaboration drives Nordson’s success as a market leader in Industrial Precision Solutions and Advanced Technology. Our employees thrive in an environment where we help each other reach our personal best and enable our company to continuously improve and grow, and our customers to succeed. You will find Nordson employees sharing our success by giving back in the communities around the world where we live and work. *Open to any location near a Nordson facility* The Product Compliance Specialist will provide guidance and act as the internal technical expert for the Nordson Corporation regarding global restricted substance regulations. The Compliance Specialist will provide recommendations on optimal processes to ensure compliance. Essential Job Duties and Responsibilities Maintain and ensure business compliance with Nordson Restricted Substance standards. Develop and implement communication strategies including training programs to share product compliance information with engineering, supply chain management and other Corporate support groups, as well as customers, and suppliers. Possess a clear understanding of existing and developing global restricted substances regulations including European Union RoHS, European Union REACH, European Union WEEE, China RoHS, and US Conflict Minerals regulations and chemical management systems such as US TSCA. Serve as subject matter expert on regulatory matters to ensure key and regulatory requirements are understood by product teams including product development and implementation teams. Coordinate the Business implementation of the corporate restricted substances initiative which includes ensuring compliance with global restricted substance regulations. Develop sustainable processes for managing compliance activities with supporting documentation including a plan for supplier and business interfaces. Create, compile, and distribute compliance reports, quality measures and business metrics. Coordinate strategies for the Nordson Product Compliance Council. Assure appropriateness of Nordson branded safety data sheets and labels. All other duties as assigned. Education and Experience Bachelor’s degree required; degree in chemical, physical or biological science, or other related field preferred. 5+ years minimum experience in product compliance, Nordson engineering, or other related experience required. Skills and Abilities Familiarity with compliance standards (REACH, RoHS, Conflict Minerals, TSCA, etc.). Demonstrated strong and effective verbal, written, and interpersonal communication skills. Must possess proven presentation skills including the ability to effectively conduct training programs. Proficient using ERP systems, Microsoft Word, Excel, Power Point, etc. Adaptability – maintaining effectiveness in a changing environment, assignments, responsibilities and/or priorities. Excellent problem solving skills. Ability to work under pressure and to tight deadlines. Ability to identify, develop and implement best practices based on lean principles. Excellent organizational and project management skills. Ability to work cross-functionally and influence behaviors. Proven ability to establish credibility and be decisive. Excellent attention to detail.Nordson Corporation provides equal employment opportunity to all applicants and employees. No person is to be discriminated against in any aspect of the employment relationship due to race, religion, color, sex, age, national origin, ancestry, disability, sexual orientation, gender identity, genetic information, citizenship status, marital status, pregnancy, veteran status or any other status protected by applicable federal, state, or local law. All employment offers are contingent upon successful completion of our pre-employment drug screening and background/criminal check, consistent with applicable laws.Third party recruiters and agencies should not contact employees of Nordson or its subsidiaries directly. Any resumes sent to a hiring manager or submitted to Nordson employees are considered unsolicited and property of Nordson. Nordson will not pay a placement fee unless the agency or recruiter has a signed contract with Nordson’s Human Resources department in advance of submitting a candidate for consideration. Verbal and written approvals will not be considered a valid contract for service.

The Trade Desk is changing the way global brands and their agencies advertise to audiences around the world. How? With a media buying platform that helps brands deliver a more insightful and relevant ad experience for consumers –– and sets a new standard for global reach, accuracy, and transparency. We are proud of the culture we have built. We value the unique experiences and perspectives that each person brings to The Trade Desk, and we are committed to fostering inclusive spaces where everyone can bring their authentic selves to work every day. So, if you are talented, driven, creative, and eager to join a dynamic, globally-connected team, then we want to talk! What we do: We are looking for a Compliance Analyst who will assist with the Compliance program, which includes Sarbanes-Oxley (SOX), Service Organization Controls (SOC), and other compliance initiatives. The Analyst assists in leading the company’s implementation, maintenance, and remediation of compliance control initiatives. Further, this role assists with development of company-wide IT control standards, manages and participates in IT control-related projects. They will partner with stakeholders throughout the company including Engineering, Finance, Information Security, Technical Account Management, Support and Security Operations to identify solutions, process improvements, and further security compliance control-related initiatives. What you'll do: Conduct periodic internal reviews or audits to ensure that compliance procedures are followed. Collaborate with 3rd party auditors to execute compliance program to ensure that technology and business processes meet compliance Assist with preparing compliance status reports for internal management, clients and auditors. Communicate complex IT issues in simple terms to team members. Produce quality deliverables supporting analysis and recommendations to stakeholders and executive management. Build productive working relationships with peers, reviewers and management. Work with other team members to develop best practices and a base of knowledge for future use. Stay current with emerging issues affecting the IT auditing profession. Who you are: BS or BA in relevant field (Computer Science, Information Systems, Finance, Economics, Accounting) Certifications such as CISSP, CISM, CISA or CIA, preferred 2+ years of experience public accounting experience. Big 4 preferred Experience with high technology companies and demonstrate proficiency with issues that are typical for technology companies with a complex IT environment Experience with Sarbanes Oxley, PCAOB, AICPA, SOC and COSO framework Experience supporting process improvements, coordinating projects, and assisting with change management initiatives Understanding of the Trust Services Principles, including security, availability, processing integrity, confidentiality, and privacy Strong organizational skills, follow through and detail-oriented self-starter with the ability to work independently and see tasks/projects through to completion, meet deadlines and understand when to escalate matters if needed Experience with AuditBoard or similar GRC platforms preferred Ability to make effective and independent judgments, including the ability to develop creative solutions to difficult problems Ability to summarize complex and/or technical information into easy-to-understand pieces (distinguishing message delivery from analysis) Ability to understand latest industry trends and their potential impact on the company Ability to work as an individual contributor and collaborate with internal teams Ability to juggle multiple high priorities in a fast-paced environment and have a willingness to learn Outstanding communication skills – including written and verbal communications, interpersonal, analytical, negotiating and problem-solving skills; proven ability to work cross-functionally Knowledge on privacy subject matter such as GDPR, CCPA, and general privacy laws is preferred Familiarity with leveraging AI tools to enhance audit, risk, or compliance processes preferred Experience with system integrations (e.g., ERP, GRC, or reporting tools) preferred Ability to perform light software development or scripting (e.g., Python, SQL, or APIs) to support automation and reporting preferred #LI-TP1 The Trade Desk does not accept unsolicited resumes from search firm recruiters. Fees will not be paid in the event a candidate submitted by a recruiter without an agreement in place is hired; such resumes will be deemed the sole property of The Trade Desk. The Trade Desk is an equal opportunity employer. All aspects of employment will be based on merit, competence, performance, and business needs. We do not discriminate on the basis of race, color, religion, marital status, age, national origin, ancestry, physical or mental disability, medical condition, pregnancy, genetic information, gender, sexual orientation, gender identity or expression, veteran status, or any other status protected under federal, state, or local law. [LA JOBS ONLY] The Trade Desk will consider qualified applicants with criminal histories for employment in a manner consistent with the requirements of the Los Angeles Fair Chance Initiative for Hiring, Ordinance No. 184652. [SF JOBS ONLY] Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records. CO, CA, IL, NY, WA, and Washington DC residents only: In accordance with CO, CA, IL, NY, WA, and Washington DC law, the range provided is The Trade Desk's reasonable estimate of the base compensation for this role. The actual amount may differ based on non-discriminatory factors such as experience, knowledge, skills, abilities, and location. All employees may be eligible to become The Trade Desk shareholders through eligibility for stock-based compensation grants, which are awarded to employees based on company and individual performance. The Trade Desk also offers other compensation depending on the role such as sales-based incentives and commissions. Plus, expected benefits for this role include comprehensive healthcare (medical, dental, and vision) with premiums paid in full for employees and dependents, retirement benefits such as a 401k plan and company match, short and long-term disability coverage, basic life insurance, well-being benefits, reimbursement for certain tuition expenses, parental leave, sick time of 1 hour per 30 hours worked, vacation time for full-time employees up to 120 hours thru the first year and 160 hours thereafter, and around 13 paid holidays per year. Employees can also purchase The Trade Desk stock at a discount through The Trade Desk’s Employee Stock Purchase Plan. The Trade Desk also offers a competitive benefits package. Click here to learn more. Note: Interns are not eligible for variable incentive awards such as stock-based compensation, retirement plan, vacation, tuition reimbursement or parental leave At the Trade Desk, Base Salary is one part of our competitive total compensation and benefits package and is determined using a salary range. The base salary range for this role is $70,500 — $129,300 USD As an Equal Opportunity Employer, The Trade Desk is committed to making our job application process accessible to everyone and to providing reasonable accommodations for applicants with disabilities. If you have a disability or medical condition and require an accommodation for any part of the application or hiring process, please contact us at accommodations@thetradedesk.com You can also contact us using the same email address if you have a disability and need assistance to access our Company website. When contacting us, please provide your contact information and specify the nature of your accessibility issue.

Position Description: Come and join an amazing team that is passionate about what we do! Tower Water is a leading company in the environmental services industry, we are looking for someone that shares our values and passion for the work we do to join our team and manage accounts in the New York City Metropolitan Area. We are seeking a detail-oriented candidate who is passionate about water treatment and problem-solving. This individual will provide excellent customer service, address client concerns and provide field-oriented guidance throughout the New York Metropolitan area.  This is an 80% autonomous position which requires the ability to meet and execute deadlines in a timely manner. The ideal candidate must be responsive, have a positive Can-Do attitude, and be practical exhibiting good judgement and decision-making skills, be flexible and capable of performing the job under various circumstances, such as last-minute schedule changes, exposure to the elements, and meeting client needs related to the position.   This is a full-time, entry-level position. Training is provided POSITION WILL ENTAIL THE FOLLOWING: Primary Duties ·    Review, audit, and monitor facility water management plans. ·    Collaborate and liaise with our divisions focused on water treatment and construction. ·    Serve as a point of contact among building facilities, vendors, and the department of health to reduce the risk of legionella in cooling water systems. ·    Inspecting of cooling towers based on local legionella regulations. ·    Collecting and submitting Legionella samples as planned or in response to emergencies. ·    Creating and supplying documentation to clients to ensure a satisfactory compliance status is maintained. ·    Deliver training and assistance regarding water management plans. · Informing clients about the services offered. ·   Other duties as needed. Requirements Requirements: ·        Preferred 7G Pesticide License ·        Preferred a minimum of 2 Years’ experience in Water Treatment industry ·        An individual with an open mind seeking to acquire conceptual skills. ·        Ability to communicate with clients in a constructive manner ·        Candidate must possess strong organizational and time management skills ·        Candidate must exhibit a "can-do" attitude ·        Successfully accomplish assigned tasks in a timely manner. ·        Excellent verbal & written communication skills ·        Computer literacy (MS office suite including word, excel, google, maps…etc.) ·        Basic “hands on” mechanical skills (using hand tools) ·        Reliable individual who understands the value of reputation ·        Ability to manage tasks autonomously with supervision as required Preferred Education: ·        2 Year Technical Degree or advanced ·        Certified industrial hygienist ·        Environmental Consultant ·        ASSE 12080 Legionella Water Safety and Management Personnel *Experience in water treatment industry may supplement education requirement Working Conditions: (This is a field position, much of your time will be spent traveling to different locations in varying weather conditions.) ·        Standing for 6-8 hours ·        Frequently carrying equipment with an average weight of 25 to 50lbs ·        Safely scaling ladders to access equipment ·        Potential to hazardous environment which may involve exposure to dangerous chemical, navigating tight spaces, and varying temperature conditions safely ·        Commuting to and from New York Metropolitan area Benefits Compensation:  Starting annual salary of 50k to 60k based on experience. 401K (with employer matching up to 4%) Accrued PTO and paid holidays Generous employer contribution towards medical, dental and vision health benefits costs Employer paid life insurance, with additional options Employer paid supplemental short term disability insurance FSA & HAS pretax benefit options We provide all tools required to perform duties including a work computer and cell phone The company covers all expenses related to professional certifications. Opportunities for professional development and growth, along with quarterly performance discussions. Tower Water is an Equal Opportunity Employer. We are committed to creating an inclusive environment for all employees and applicants, regardless of race, color, religion, sex, national origin, age, disability, veteran status, sexual orientation, gender identity, or any other characteristic protected by law. We encourage individuals from all backgrounds to apply.

Ankura is a team of excellence founded on innovation and growth. Job Description: Ankura is a specialized global expert services firm defined by HOW we solve challenges. Whether a client is facing an immediate business challenge, trying to increase the value of their company or protect against future risks, Ankura designs, develops, and executes tailored solutions by assembling the right combination of expertise. We build on this experience with every case, client, and situation, collaborating to create innovative, customized solutions and strategies designed for today’s ever ‐ changing business environment. This gives our clients unparalleled insight and experience across a wide range of economic, governance, and regulatory challenges. At Ankura, we know that collaboration drives results.This position supports the Ankura Risk, Forensics & Compliance practice - one of six practices focused on client delivery services across the Firm. The position will focus particularly on engagements with Ankura’s National Security, Trade & Technology team. Responsibilities: · Working both independently and with team members as the project lead to successfully execute projects involving U.S. international trade and technology security controls, Defense Industrial Base (DIB) -related cybersecurity, and other national security-related compliance and program enhancement projects. · Leading assessments of clients’ cyber and data security posture, including assessments of compliance with NIST CSF, NIST 800-53, NIST 800-171, CMMC, and other information security standards · Leading assessments and enhancement of clients’ international trade and technology security controls compliance posture, particularly with respect to integration of automated systems and tools. · Developing and refining engagement approaches and project plans based on guidance from team leadership and experience · Independently interfacing with clients and delivering high-quality work product, specifically including Plans of Action and Milestones (POAM) and System Security Plans (SSP) · Building industry-recognized subject matter expertise in the national security and DIB cybersecurity domains, including keeping apace with developments in cyber frameworks and compliance, and producing timely, polished thought leadership. Professional and conceptual agility to design and execute compliance risk mitigation and information security solutions that are adaptive to client risks and requirements across multiple domains · Helping clients navigate U.S. Government Security, international trade and technology control, and data security requirements · Up to 20% travel required Requirements: · Bachelor’s Degree required. Specific focus/qualifications on information/cyber security, network security, and/or international trade controls strongly preferred · Prior experience working as a compliance professional and/or Information Security professional and program leader in a company, professional services firm, or U.S. Government · Demonstrated expertise in cyber compliance assessments · Preferably, experience/expertise with trade control requirements and compliance program support · Excellent research and writing capabilities required. Candidates must be able to independently produce complete, polished work products. For individuals assigned and/or hired to work in California, Colorado, or New York, Ankura is required to include a reasonable estimate of the compensation range for this role. This compensation range is specific to the said markets and considers a broad range of factors including but not limited to skill sets, experience and training, licensure and certifications, and other business and organizational needs. The disclosed range estimate has not been adjusted for the applicable geographic differential associated with the location at which the position may be filled . The range does not includ e additional benefits outside of salary. At Ankura, it is not typical for an individual to be hired at or near the top of the range for their role and compensation decisions are dependent on the facts and circumstances of each role. A reasonable estimate of the current base pay range is between $85,000 to $200,000 ; this range is not a promise of a particular wage. #LI-Remote Ankura is an Affirmative Action and Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, or protected veteran status and will not be discriminated against based on disability. Equal Employment Opportunity Posters, if you have a disability and believe you need a reasonable accommodation to search for a job opening, submit an online application, or participate in an interview/assessment, please email accommodations@ankura.com or call toll-free +1.312-583-2122. This email and phone number are created exclusively to assist disabled job seekers whose disability prevents them from being able to apply online. Only messages left for this purpose will be returned. Messages left for other purposes, such as following up on an application or technical issues unrelated to a disability, will not receive a response.

Location: On site at location listed in job posting Summary The primary responsibility of this position is to conduct testing of all Products and Services to all applicable regulations in which Corporate Compliance has oversight responsibility. Must have a knowledge of all state and federal laws and regulations related to Consumer, Trust, and Commercial Compliance to be leveraged as part of other testing responsibilities. Must have transferrable skills that demonstrate the knowledge and ability to interpret and vet laws and regulations. The ability to analyze large sets of data in a timely manner. This job involves the exercise of discretion and judgment. Exhibits a sense of urgency, adheres to deadlines (both internal and those required by law) and meets department quality standards for accuracy and completeness of work. Participates in company wide project initiatives that expand and advance the Corporate strategy while ensuring processes/changes implemented are in compliance with all applicable laws and regulations; including but not limited to: new/expanded products, services, initiatives, systems, and marketing. ESSENTIAL DUTIES AND RESPONSIBILITIES Coordinate with business partners to gather appropriate information to complete all required testing reviews. Must have a proficient level of knowledge of the various laws, regulations and rulings. Must be able to research and interpret the requirements of the regulations Proficient knowledge of banking products and services Exercise discretion and judgment identifying risk/control gaps that may have an adverse impact; and the ability to communicate issues and root causes effectively to the CT Director and the business unit. Responsible for consistent and timely completion of all assigned reviews, including SWAT reviews, with minimal supervision and corrections. Completion of assigned reviews includes but is not limited to developing or updating testing steps, preparing request letter, effectively communicating with management throughout the review, providing timely status and potential issue updates to the Compliance Testing (CT) Director, issuance of preliminary findings to management, reviewing management responses to determine adequacy This position requires the safekeeping and complete confidentiality of all customer transactions and information, including that of other bank personnel. Using sound judgement when communicating and discussing findings with the CT Director; and assisting the CT Director to ensure corrective action implemented satisfactorily addresses any issues noted. Maintaining necessary workpaper standards to meet the requirements of internal partners (Internal Audit) and regulatory agencies (FRB, CFPB, etc.). Assist with the coordination of information requests including preparation of requested items while maintaining a workload balance to ensure timely completion of all assignments Communicate as required with appropriate senior management and examiners concerning review findings and corrective action. Maintaining a commitment to continuous learning and developing knowledge and skills to competently and efficiently execute assignments. Proactively communicates with management when a deadline is in jeopardy of not being met. Must be proactive and take the initiative to assist with ad-hoc departmental projects and have the ability to maintain timely completion of assigned reviews while assisting with the ad-hoc departmental projects SUPERVISORY RESPONSIBILITIES No supervisory responsibilities QUALIFICATIONS To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. Additionally, the qualifications listed below are representative of the knowledge, skills, and/or abilities required in this position: Bachelor (4-year college) degree Financial Institution experience required (4-6 years). Risk Management and/or compliance background required (2-4 years). Background in preparing for internal (Compliance Testing and/or Audit) and external (regulatory) examinations preferred. Accurate typing, spelling and grammar skills. Proficient with applicable computer software. Strong research, written and oral communication skills. Strong organizational and customer service skills. Ability to read and interpret legal documents and government regulations and work well under pressure. Proficient knowledge of Banking Products and Services required. Legal Background preferred. Must possess a high level of organizational skills, ability to multi-task and manage workflow, prioritize, adjust to changes, and follow-up. Must possess a high level of analytical, problem solving, and critical thinking skills. Must possess strong written, verbal, and interpersonal skills. COMPUTER AND OFFICE EQUIPMENT SKILLS Microsoft Office suite CERTIFICATES, LICENSES, REGISTRATIONS (Ex: CPA, Series 6 or 7 license, etc) None required About Us First Horizon Corporation is a leading regional financial services company, dedicated to helping our clients, communities and associates unlock their full potential with capital and counsel. Headquartered in Memphis, TN, the banking subsidiary First Horizon Bank operates in 12 states across the southern U.S. The Company and its subsidiaries offer commercial, private banking, consumer, small business, wealth and trust management, retail brokerage, capital markets, fixed income, and mortgage banking services. First Horizon has been recognized as one of the nation's best employers by Fortune and Forbes magazines and a Top 10 Most Reputable U.S. Bank. More information is available at www.FirstHorizon.com. Benefit Highlights Medical with wellness incentives, dental, and vision HSA with company match Maternity and parental leave Tuition reimbursement Mentor program 401(k) with 6% match More -- FirstHorizon.com/First-Horizon-National-Corporation/Careers/Our-Benefits Follow Us Facebook X formerly Twitter LinkedIn Instagram YouTube

Exceed the expectations of our residential mortgage borrowers & business partners through superior service, simple processes, and effective communications. We deliver on this mission by empowering our employees by encouraging and recognizing superior performance and innovative solutions, by promoting teamwork and divisional cooperation. POSITION SUMMARY The Sr Compliance Analyst - Originations supports the Company's compliance management plan through the execution of compliance testing, preparation, and monitoring of compliance reporting, and assisting the various lines of business in the development and implementation of policies and procedures to comply with the federal, state, and local laws and regulations. DESCRIPTION Duties and Responsibilities Support all aspects of the Company's compliance initiatives, including assisting in the development of policies, procedures, test plans, reports, and technology requirements, to comply with the company's compliance various requirements, including Real Estate Settlement Procedures Act (RESPA), Truth in Lending Act (TILA), Equal Credit Opportunity Act (ECOA), Fair Credit Reporting Act (FCRA), Gramm-Leach-Bliley Act (GLBA), Home Mortgage Disclosure Act (HMDA), Security and Freedom Enhancement Act (SAFE Act), and any applicable state specific consumer protection and lending laws. Assist in the preparation and execution of the Company's compliance risk assessments and development of compliance test plans. Support the Company's various lines of business by addressing day-to-day compliance matters, including but not limited to answering routine to complex questions, identifying, and/or resolving issues, and when applicable, escalating key issues to management. Provide compliance support and oversight for the Company's new product and program launches. Function as a lead in the preparation and submission of key compliance reporting requirements, including but not limited to the HMDA Loan/Application Register (LAR), Mortgage Call Report (MCR), and any other routine to complex compliance reports, as required by management. Coordinate and test routine to complex updates and/or enhancements to the Company's technology platforms, including its proprietary systems, reporting software, and third-party compliance integrations (including ComplianceEase, Mavent, and RiskExec). Participate in all aspects of federal, state, and agency/investor examinations as needed, including completing loan file reviews, preparation of examination responses, and functioning as a lead in the development of remediation plans and post implementation testing to ensure effectiveness. Monitor for changes to the federal, state, and local regulatory environment, identify any applicable changes, and assist with the implementation and testing of updated policies, procedures, and technology in connection with updates that affect the Company. Mentor to more junior staff members. Performs related duties as assigned by management. Qualifications and Education Requirements High School Diploma or equivalent required. Bachelor's degree is preferred. 4-6 years of demonstrated mortgage legal and/or compliance experience required. 10+ years of mortgage lending experience required. Skills, Abilities, and Knowledge Excellent interpersonal, written, and oral communication skills. Excellent research and writing skills. An ability to manage multiple priorities in a fast-paced environment. Excellent computer skills with proficiency in Microsoft Outlook, Word, PowerPoint, and Excel. Familiarity with mortgage Loan Originations Systems (LOS), documents and Extensible Markup Language (XML) data. Knowledge of National Mortgage Licensing System (NMLS) and Federal Housing Administration (FHA) Connection. Experience with Automated Compliance Systems (such as Mavent, Compliance Ease, etc.) is preferred. Additional Information While this description is intended to be an accurate reflection of the position's requirements, it in no way implies/states that these are the only job responsibilities. Management reserves the right to modify, add or remove duties and request other duties, as necessary. All employees are required to have smart phones that meet Company security standards with the ability to install apps such as Okta Verify and Microsoft Authenticator. Employment will be contingent on this requirement. By applying to this position candidate acknowledges that this is not a remote role and is required to be on-site. REVISION HISTORY Last Updated: 10/21/2024 Additional Information: While this description is intended to be an accurate reflection of the position's requirements, it in no way implies/states that these are the only job responsibilities. Management reserves the right to modify, add or remove duties and request other duties, as necessary. All employees are required to have smart phones that meet Company security standards with the ability to install apps such as Okta Verify and Microsoft Authenticator. Employment will be contingent on this requirement. Company Benefits: Newrez is a great place to work but we are only as strong as our greatest asset, our employees, so we believe in rewarding them! Medical, dental, and vision insurance Health Savings Account with employer contribution 401(k) Retirement plan with employer match Paid Maternity Leave/Parental Bonding Leave Pet insurance Adoption Assistance Tuition reimbursement Employee Loan Program The Newrez Employee Emergency and Disaster Fund is a new program to support our team members Newrez NOW: Our Corporate Social Responsibility program, Newrez NOW, empowers employees to become leaders in their communities through a robust program that includes volunteering, philanthropy, nonprofit grants, and more 1 Volunteer Time Off (VTO) day, company-paid volunteer day where all eligible employees may participate in a volunteer event with a nonprofit of their choice Employee Matching Gifts Program: We will match monetary employee donations to eligible non-profit organizations, dollar-for-dollar, up to $1,000 per employee Newrez Grants Program: Newrez hosts a giving portal where we provide employees an abundance of resources to search for an opportunity to donate their time or monetary contributions Equal Employment Opportunity We're proud to be an equal opportunity employer- and celebrate our employees' differences, including race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, and Veteran status. 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