• Prepare, review, and update AML/KYC reports, including risk assessments, risk appetite statements, regulatory reports, and quarterly RC reports • Attend on-site visits or online KYC review meetings, prepare visit reports, and review reports prepared by associates • Conduct internal audits of existing client files to ensure compliance • Act as RC for CSSF and/or AED-supervised clients or funds • Participate in weekly team meetings to align on priorities and projects • Review, update, and deliver AML training materials and sessions to clients, including live or face-to-face sessions • Maintain the AML framework and templates (due diligence questionnaires, AML policies, risk assessments) in line with regulatory requirements • Keep up to date with relevant regulatory developments and ensure inclusion in client reports • Conduct due diligence on service providers and review related reports • Review Director and Officer Insurance documentation to ensure proper coverage • Review and update internal processes and procedures, communicating approved changes to staff, contractors, or other relevant parties • Support compliance consulting engagements on AML/CFT, ESG, or regulatory matters • Monitor and approve daily name screening alerts • Assist in drafting internal documents and procedures, including business continuity planning (BCP) • Log all work in the time monitoring system and adhere to internal procedures

sFOX is a full-service prime dealer uniting liquidity from over 30 exchanges and OTC desks in one easy-to-manage platform. sFOX's platform provides traders with best execution services from a single account, a single counterparty, and a single workflow — giving traders greater capital efficiency. Its smart order router algorithmically routes traders to the most competitive prices worldwide, reducing slippage and improving trade performance across immense scale. sFOX is committed to the highest standards of investor protection and reliability. The platform is SOC 2 certified and provides access to the market 24/7 with 99.99% uptime. Founded in 2014, the company is backed by Social Capital, Digital Currency Group, Khosla Ventures, DHVC, Haystack, Blockchain Capital, Y Combinator, and executives from PayPal and Airbnb. We’re on a mission to open the world’s financial markets to everyone and we’re looking for exceptional talent to join our rapidly growing team. Role The U.S. BSA Officer is responsible for the design, implementation, and administration of the firm’s BSA/AML compliance program. Operating under authority delegated by the Board, the role ensures the firm maintains an effective, risk-based AML framework aligned with FinCEN guidance and applicable regulatory requirements. The BSA Officer oversees suspicious activity monitoring, regulatory reporting, financial crime investigations, and AML governance, and works closely with senior leadership and cross-functional teams to ensure financial crime controls are embedded across the business. The role also serves as the primary liaison with regulators, auditors, and law enforcement on BSA/AML matters. Responsibilities: - Serve as the designated BSA Officer for U.S. operations, responsible for administration of the firm’s AML/BSA program - Maintain and enhance a risk-based AML program, including policies, procedures, and internal controls aligned with applicable regulatory requirements - Oversee transaction monitoring, investigations, and case management, ensuring appropriate escalation and documentation of suspicious activity - Review and approve Suspicious Activity Reports (SARs) and ensure timely filing with FinCEN and applicable authorities - Serve as the primary point of contact for law enforcement inquiries, subpoenas, and regulatory information requests related to financial crime matters - Support regulatory examinations, independent audits, and internal reviews of the AML program - Provide AML risk guidance for new products, services, and business initiatives, ensuring financial crime controls are embedded in business processes - Oversee customer due diligence and enhanced due diligence frameworks, including onboarding and ongoing monitoring controls - Maintain the firm’s AML risk assessment and training program, ensuring staff are appropriately trained on financial crime obligations - Prepare periodic reporting to senior management and the Board on AML program effectiveness, risks, and remediation efforts - Provide regular reporting to senior management and the Board of Directors regarding the effectiveness of the AML/BSA program, including key risks, suspicious activity reporting metrics, and program enhancements - Escalate material financial crime risks, control deficiencies, or regulatory matters to senior management and the Board as appropriate - Support preparation of materials for Board and committee meetings relating to AML/BSA and financial crime risk - Ensure appropriate documentation and follow-up on actions directed by senior management or the Board related to AML program governance Requirements - Bachelor’s degree in Finance, Law, Business, Criminal Justice, or a related field required. Advanced degree (JD, MBA) or relevant compliance certifications preferred - 10+ years of experience in AML/BSA, financial crime compliance, or related risk management functions within financial services, fintech, or digital asset institutions - Strong knowledge of U.S. BSA/AML regulations, FinCEN guidance, and financial crime compliance frameworks, with familiarity with international AML requirements preferred - Demonstrated experience designing, implementing, and maintaining AML programs, including policies, procedures, internal controls, and risk assessments - Experience overseeing transaction monitoring, investigations, and Suspicious Activity Report (SAR) processes - Ability to collaborate effectively across business functions, including senior leadership, product, engineering, risk, and legal teams - Strong leadership capability with experience managing or overseeing teams responsible for KYC, investigations, AML policy, and regulatory reporting - Professional certifications such as CAMS, CFCS, or equivalent preferred but not required - Willingness to serve in a regulated control function with accountability for AML program effectiveness and regulatory reporting obligations We offer a competitive compensation package with a base salary range of $185,000–$225,000, determined by experience, qualifications, and geographic location. In addition to base pay, employees are eligible for a comprehensive benefits package that includes medical, dental, and vision insurance, a 401(k) retirement plan, and flexible paid time off to support work–life balance sFOX is committed to diversity in its workforce and is proud to be an equal opportunity employer. We do not make hiring or employment decisions on the basis of race, color, religion, creed, gender, national origin, age, disability, veteran status, marital status, pregnancy, sex, gender expression or identity, sexual orientation, citizenship, or any other basis protected by applicable local, state or federal law. sFOX will never ask candidates for payment, banking information, or personal financial data during the recruiting process. If you receive suspicious communication claiming to be from sFOX, please verify by contacting hr@sfox.com

• Conducts adjudications and/or analysis, risk assessments and investigations of general queue cases • Provides analysis and/or data/evidence gathering support for complex investigations • Prioritizes incoming investigation requests • Investigates AML, ATF, ABAC and Sanctions cases

• Investigates PEP/MSB/CRB alerts to determine if they correspond to TD customers • Reviews TD source systems and online sources for information • Conducts risk assessments and investigations of general queue cases • Prepares and delivers AML, Sanctions/ABAC and Financial Crime seminars • Analyzes potential solutions ensuring processes and functional programs are in place