Gresham Partners, LLC

• Provide daily front-line compliance advisory support to the Firm’s Investment Banking and Capital Markets businesses. • Advise on firm policies and procedures and applicable securities laws and regulations for covered business lines (and provide back-up support for others). • Develop policies and controls to align, supervise, and monitor Capital Markets and Investment Banking activity with regulatory requirements and industry best practices. • Oversee implementation and daily execution of sales-practice components of the Firm’s compliance program across Equities and Fixed Income for private-side activities. • Lead and/or participate as the private-side SME for projects to build processes and controls to comply with transactional rules and regulations, including remediations. • Support the Compliance Marketing Officer with marketing reviews and advise on LinkedIn posts, investor presentations, deal materials, and client education content for supported business lines. • Partner with business management and other departments to support existing processes and develop new processes that address business risk and regulatory requirements. • Support the development, implementation, maintenance, and enhancement of programs that provide compliance risk management and supervisory oversight for private-side business lines. • Develop supervisory tools related to business activity; assist with monitoring and tracking supervisory oversight; and update BL checklists, responsibilities, and reviews as needed. • Partner with the Control Room to ensure transparency and visibility into Private Side activities.

• Manage the review process of employee personal trading accounts including FINRA Rule 3210 letters at onboarding/offboarding of accounts. • Assist with new hire employee onboarding, FINRA pre-hire checks and tracking. • Assist with any follow-ups in the onboarding process involving submission of employee disclosures or any projects involving tracking or organization of data collected by Compliance. • Assist with NFA fingerprint collection by sending via FedEx, NFA fingerprint cards to employees who are applying to be an Associated Person. • Order study materials for employees seeking to obtain FINRA licensing. • Knowledge of the FINRA registration process including filing of U4s, U5s, and Form BRs, or ability to acquire these skills. • Monitor and track employee Licensing and Registration and completion of Firm and Regulatory Element Continuing Education requirements. • Periodically notify Supervisors of employee progress. • Monitor NFA Ethics Training due dates and notify employees to complete. • Ability to process and review employee trade requests and disclosures including OBAs/PSTs, political contributions, gifts, brokerage accounts, and charitable contributions. • Assist with the review of the Annual Compliance Meeting disclosures including employee work locations. • Assist with document production for regulatory exams, inquiries, and information requests. • Develop, implement, and maintain policies and procedures to ensure ongoing compliance with applicable rules and regulations including operating procedures, compliance manual policies and written supervisory procedures. • Assist with the development and/or implementation of project work to modernize compliance processes.

• Manage day-to-day compliance activities • Execute compliance initiatives • Monitor regulatory adherence • Support the coordination and tracking and completion of branch inspections • Perform Branch Inspections pursuant to FINRA Rule 3110(c) • Experience performing monitoring and testing Written Supervisory Procedures pursuant to FINRA Rule 3120 • Assist with document production for regulatory exams, inquiries, and information requests • Develop, implement, and maintain policies and procedures to ensure ongoing compliance with applicable rules and regulations

• Complete electronic communications reviews and assist with developing targeted reviews. • Be a member of special projects teams and assist with integrations/implementations. • Assist with Compliance Marketing surveillance and reviews including LinkedIn, investor presentations, deal-related material and client education presentations. • Review and sign off on marketing, sales practice, and client educational content of the firm in partnership with the Marketing and Sales practice areas of the firm. • Provide timely review of sales practice and marketing materials, including print, digital, and video materials, in accordance with FINRA guidelines. • Review social media posts in accordance with FINRA guidelines and help manage the social media program. • Perform transactional surveillance and reviews on Firm controls and supervisory processes related to Marketing and Communications with the Public. • Help develop supervisory tools related to business activity such as compliance violations logs. • Assist with monitoring & tracking supervisory oversight; help amend all relevant BL checklists, responsibilities, and reviews as necessary. • Assist with AML sanction screening and transaction monitoring. • Be a member of special projects teams and assist with the build out of the Compliance Marketing and AML programs.

• Assist Control Room with daily monitoring of email inbox, deal entry, conflicts checks, wall cross/MNPI requests, and communication with deal teams. • Monitor statuses of deals in IB & Capital Markets pipeline; maintain accurate statuses in control room module and reconcile control room information with pipeline report from deal team. • Be a member of special projects teams and assist with integration/implementation of Control Room Vendor, Market Manipulation/Trading Surveillance Vendor, etc. • Help develop supervisory tools related to business activity such as compliance violations logs. • Assist with monitoring & tracking supervisory oversight; help amend all relevant BL checklists, responsibilities, and reviews as necessary. • Support IB deal team with Reg M filings. • Manage IB/Capital Markets pipeline reports and act as a liaison for status of private side deals. • Act as the primary touch point for market manipulation surveillance scenario reviews and create documentation. • Assist with Fixed Income and Equity project work including development of policies & controls, documentation requirements, and metric creation. • Provide support to Equity trading desk; act as main point of contact for CAT, CAIS & ORF reporting and coordinate with senior compliance officer and counterparties to resolve issues. • Ensure supervisory program and related controls are in place (training new hires, proper completion of checklists, and adherence to written policies and controls). • Interpret new Rules and assist BL team with understanding business application.

• Lead CRM development including solution design, configuration, custom development, testing, deployment, and production support. • Partner with CRM team members and business stakeholders to elicit, document, and refine requirements, translating them into technical designs. • Design and implement custom entities, fields, forms, views, dashboards, business rules, and security models aligned to business requirements. • Develop and maintain plugins, custom workflows, and extensions using .NET and the Dynamics SDK. • Maintain and enhance existing customizations, refactoring legacy work where appropriate. • Build, support, and maintain integrations between Dynamics and third-party systems. • Implement integrations using REST APIs, webhooks, and Azure where appropriate. • Partner with IT teams to ensure integrations are scalable, secure, and maintainable. • Use Power Automate flows to support workflow automation, integrations, and data processing. • Build and maintain Power Apps (model-driven and canvas) as needed to extend CRM functionality. • Collaborate on the design of Power BI datasets and reports. • Lead initiatives for bulk data cleanup, deduplication, and normalization. • Maintain a clean system configuration by managing unused fields, views, and processes. • Maintain system health including audit logs, storage consumption, and environment capacity. • Manage development, test, and production environments, including solution versioning, deployments, and rollback strategies. • Ensure changes align with governance, security, and compliance standards.