Description Compliance Manager – Licensing and Exam Management Description Come join as a Compliance Manager for Licensing and Exam Management. Seeking an experienced Licensing and Examinations Manager to join its Licensed Offerings team. You will support licenses related to mortgage loan brokering, as well as the entity governance activities and regulatory examinations related to those licenses. Review documents prior to delivery to regulators to ensure proper formatting and content o Organize and manage examination documentation and schedule all required meetings o Update internal examination system and track issues. Work cross-functionally across compliance and the business to drive change based on examination findings and recommendations o Help drive the mindset that Compliance is a strategic advantage, enabling growth and customer delight. Qualifications · Bachelor’s Degree preferred with 5+ years professional experience required · 3-5 years’ experience in licensing and/or an in-house legal, risk, or compliance department required · 3-5 years’ experience with Company-level licensing in NMLS preferred · Experience with mortgage loan brokering licenses preferred · Experience with scheduling and leading meetings required · Experience with state and/or federal regulatory examinations and interaction with regulators · Proven success working with cross-functional teams · Desire to thrive in a fast-paced and multifaceted business · Strong organizational skills and attention to detail required · Excellent critical thinking, communication, interpersonal and writing skills are a must Additional Skills & Qualifications We are looking for a proactive Compliance manager to provide strong support for the mortgage loan brokering licensing and examination program. The ideal candidate should have experience in mortgage loan brokering, managing Company and individual licenses, including compiling applications; submitting renewals; compiling and submitting regulatory reports; scheduling and running meetings; preparing materials and taking meeting minutes; and interacting with agencies and examiners. Products must continuously delight our customers, conform to policy and practices, and meet the regulatory requirements imposed upon its regulated activities by state and federal agencies. If you are passionate about innovation, solving tough customer challenges, and compliance as a strategic advantage, then come join our team! We believe diversity and inclusion among our teammates produces better results and is critical to our success as a global company. We are committed to recruiting, developing, and retaining the most talented people from a diverse candidate pool. Responsibilities: Licensing – file licensing documents such as applications, renewals, and required reporting o Solve actions items in NMLS related to licenses o Coordinate with internal teams to provide required documentation for license renewals and reporting o Facilitate payment of necessary licensing fees o Organize and maintain licensing documentation o Interact with regulators, including asking and answering regulatory inquiries o Manage state entity filings, including those relating to DBAs o Manage Director/Officer changes, including scheduling fingerprinting/notary appointments, and attestations o Monitor the relevant regulation landscape for changes relating to licenses · Exam Management – manage regulatory examinations o Lead examinations related to mortgage loan brokering licenses, including preparation and delivery of responses o Compile requested documentation from internal stakeholders and escalate Job Type & LocationThis is a Contract position based out of Mountain View, CA. Pay and BenefitsThe pay range for this position is $60.00 - $72.00/hr. Eligibility requirements apply to some benefits and may depend on your job classification and length of employment. Benefits are subject to change and may be subject to specific elections, plan, or program terms. If eligible, the benefits available for this temporary role may include the following: • Medical, dental & vision • Critical Illness, Accident, and Hospital • 401(k) Retirement Plan – Pre-tax and Roth post-tax contributions available • Life Insurance (Voluntary Life & AD&D for the employee and dependents) • Short and long-term disability • Health Spending Account (HSA) • Transportation benefits • Employee Assistance Program • Time Off/Leave (PTO, Vacation or Sick Leave) Workplace TypeThis is a fully remote position. Application DeadlineThis position is anticipated to close on Mar 6, 2026. h4>About TEKsystems: We're partners in transformation. We help clients activate ideas and solutions to take advantage of a new world of opportunity. We are a team of 80,000 strong, working with over 6,000 clients, including 80% of the Fortune 500, across North America, Europe and Asia. As an industry leader in Full-Stack Technology Services, Talent Services, and real-world application, we work with progressive leaders to drive change. That's the power of true partnership. TEKsystems is an Allegis Group company. The company is an equal opportunity employer and will consider all applications without regards to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law. About TEKsystems and TEKsystems Global Services We’re a leading provider of business and technology services. We accelerate business transformation for our customers. Our expertise in strategy, design, execution and operations unlocks business value through a range of solutions. We’re a team of 80,000 strong, working with over 6,000 customers, including 80% of the Fortune 500 across North America, Europe and Asia, who partner with us for our scale, full-stack capabilities and speed. We’re strategic thinkers, hands-on collaborators, helping customers capitalize on change and master the momentum of technology. We’re building tomorrow by delivering business outcomes and making positive impacts in our global communities. TEKsystems and TEKsystems Global Services are Allegis Group companies. Learn more at TEKsystems.com. The company is an equal opportunity employer and will consider all applications without regard to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.

eToro is the trading and investing platform that empowers users to invest, share, and learn. We were founded in 2007 with the vision of a world where everyone can trade and invest simply and transparently. We have created an investment platform that is built around collaboration and investor education. On our platform, users can view other investors’ portfolios and statistics, and interact with them to exchange ideas, discuss strategies, and benefit from shared knowledge. We have 40 million registered users from 75 countries, and our platform is available in 20 languages. eToro is an innovative, fast-growing business and is listed on Nasdaq in May 2025. We have over 1,500 employees across more than 10 offices around the globe, strategically positioned to serve the needs of users. You can find out more about eToro here. Role Summary Come join our Award Winning Compliance team! The Compliance team are key members of eToro USA’s team. The Compliance Department provides service, support, and advice to promote the Firm’s growth and development while helping employees and the Firm meet their regulatory obligations, and more broadly, to preserve and enhance our reputation for integrity. This role will report into a Compliance Manager within the Compliance organization and assist with the day-to-day administration of the Firm’s compliance program for its money service (“MSB”), digital asset business, and broker dealer (“BD”) businesses. The following duties are generally representative of the nature and level of work assigned and are not necessarily all inclusive. Location: Remote, US What you’ll be doing: - Maintain and manage policies and procedures inventory, including ensuring regular and required reviews and approvals are completed in a timely manner - Identify and track updates to the policies and procedures inventory, as well as ensure proper approvals have been obtained and recorded - Conduct on-going eToro associate surveillance, including but not limited to gifts and entertainment, private securities transactions, and political contributions - Manage and maintain the required tracking, monitoring, responses, and applicable regulatory reporting for the Firm’s Complaints program - Marketing advertising reviews - Support compliance testing of the various lines of business - Support compliance function all regulatory reporting requirements, such as permissible investment reports, call reports, and audited financial statements, etc. are met accurately and timely - Manage and maintain eToro’s Record Retention Policy and program - Support performing due diligence for compliance vendors leveraged to support the MSB, digital asset, and broker dealer businesses, and produce reports to CCO - Identify and recommend necessary changes to business unit procedures to address compliance gaps or improve adherence to regulatory and firm requirements - All other duties as assigned and special projects as necessary Requirements - Bachelor’s degree required; advanced degree a plus. - FINRA Series 7 and 24 required; Series 4 preferred - 2+ years of experience in a compliance function and familiarity with Broker Dealer rules and regulations; knowledge or familiarity with money transmitter licenses a plus - Strong understanding of capital markets and the broker dealer industry - Has the ability to analyze situations for compliance and business risk, and implement solutions to address and mitigate such risk - Strong abilities in analytical thinking, problem solving, research, and time management - Meticulous attention to detail and highly accurate - A self-starter that enjoys a team-oriented approach - Excellent communication (written and oral), presentation, and interpersonal skills - Comfortable operating in a fast paced start-up - Experience in monitoring, testing, and conducting risk assessments - Must be proficient with MS Office (Word, Excel, PowerPoint, and Outlook) - Significant level of trust, credibility, and diplomacy is required What we offer: - Salary range for this role is $70,000 - $80,000 per annum - Comprehensive benefits package - Cell phone stipend - Daily lunch allowance - Gym stipend - 6% 401K match - 100% insurance coverage for the employee - Additional leave / recharge days

This description is a summary of our understanding of the job description. Click on 'Apply' button to find out more. Role Description This Compliance Consultant role will help Optum Financial prevent, detect, and correct compliance risk by strengthening governance, monitoring, and issue management across the business. - Compliance Governance & Program Support - Assist with the development, maintenance, and implementation of Optum Financial compliance policies, standards and standard operating procedures - Support compliance training governance activities including training content maintenance and oversight of training completion - Contribute to compliance risk assessments and regulatory change reviews by gathering information, documenting impacts, and supporting analysis - Help ensure compliance documentation remains current and well organized - Compliance Testing, Monitoring & Issue Management - Execute risk-based compliance testing and monitoring activities under the direction of Compliance leadership - Assist in developing testing workpapers, documenting results, and summarizing findings in a clear and defensible manner - Support issue management activities including tracking, validating, and documenting remediation of corrective action plans - Maintain accurate records and evidence to support internal reviews, audits, and regulatory examinations - Compliance Advisory & Regulatory Support - Support financial crimes compliance activities (e.g., Anti-Money Laundering (AML), Sanctions) by assisting with risk assessments, compliance framework, escalation / alert reviews, and advisory support as needed - Support compliance advisory activities by partnering with business teams on compliance questions, emerging risks and regulatory interpretation - Assist in researching regulatory requirements and documenting risk and decisioning in memo or briefing format - Escalate potential compliance concerns and emerging risks appropriately, supporting informed decision-making Qualifications - 3+ years of experience in banking compliance, financial crimes compliance, or a related financial legal and compliance function - Experience supporting compliance testing, monitoring and/or risk assessments - General understanding of US banking regulations, including financial crimes and sanctions compliance - Demonstrated analytical, writing, and communication skills - Proven attention to detail with a demonstrated sense of ownership and accountability - Demonstrated ability to manage multiple priorities in a fast-paced environment Requirements - Professional compliance certification (e.g., CRCM, ACAMS, CFE, or similar) - Experience within a bank, regulated fintech, or financial institution - Experience working with compliance technology tools (e.g., case management systems, transaction monitoring, sanctions screening, regulatory change management tools) - Experience supporting regulatory exams or external audits Benefits - Comprehensive benefits package - Incentive and recognition programs - Equity stock purchase - 401k contribution (all benefits are subject to eligibility requirements) Application Deadline This will be posted for a minimum of 2 business days or until a sufficient candidate pool has been collected. Job posting may come down early due to volume of applicants.

• Providing expert advice and guidance on the Financial Conduct Authority’s (FCA) regulation to network partner brokers. • Conducting health-checks visits to network partner brokers as specified in their business services agreements, in order to provide an assessment of their compliance with regulatory requirements. • Conducting regulatory based visits to network partner brokers to support the achievement of their regulatory obligations, recognising that the responsibility for compliance with regulatory requirements rests with the partner broker. • Monitoring the progress of compliance action plans resulting from the health checks, updating the action plan, and escalating to line manager and senior management team those network partner brokers who fail to deal with the issues identified appropriately.