Compliance and Legal Technologist Department: Legal & Compliance Employment Type: Full Time Location: Chicago, IL Description We are seeking our first dedicated Compliance and Legal Technologist to meet the growing needs of our in‑house compliance/legal team. This role will be foundational in modernizing how we manage documents, regulatory responses, and contract workflows. The ideal candidate will lead the evaluation, selection, and implementation of a fit‑for‑purpose document management solution to better support our increasingly demanding workloads. You'll collaborate closely with firmwide IT, helpdesk, data, and engineering teams to design a structured, sustainable ecosystem that elevates how our team works. Hours: 8 AM to 5 PM CST What You'll Do - Own the vendor selection process for a new document management platform (with iManage among the tools under consideration). - Lead the implementation, configuration, and adoption of the chosen solution, ensuring it becomes a core, effective platform. - Evaluate and redesign our current document storage practices for improved structure, consistency, and auditability. - Implement and help to maintain document-level taxonomy and indexing strategies - Develop clear, practical guidelines for how to use the new system alongside SharePoint for complementary use cases. - Partner with existing IT support, sysadmins, network engineers, developers, and data scientists to streamline how our legal/compliance team collaborates with other areas of the overall firm. - Provide training, documentation, and ongoing support to ensure adoption and adherence to new systems and processes. - Bridge between our business, technical, and legal/compliance team to translate needs into structured system enhancements. - Identify longer-term opportunities to enhance our contract lifecycle management (CLM) approach and other emerging needs. What We're Looking For - Experience evaluating, selecting, and implementing document management platforms for regulated environments. - Platform expertise in Sharepoint, iManage, and/or similar systems. - Strong understanding of how to structure and optimize document workflows for compliance, legal, and regulatory use cases. - Comfort working alongside other technical experts in a cross-functional environment. - A process-oriented mindset with the ability to navigate document sprawl from legacy approaches. - Initiative, curiosity, and strong communication skills. Why Join Us Our flat organizational structure promotes teamwork across the Firm and offers easy access to senior staff. While we work exceptionally well as a team in the office, our bonds are further strengthened through company events, activities and giving back. Volleyball, soccer, hockey, 5K runs, picnic, parties, and trivia nights provide friendly competition and build better relationships. By getting out of our usual environment and doing out-of-the-ordinary things together, we foster creativity and broaden our imaginations to accomplish new challenges. Benefits: - Highly competitive salary & bonus opportunity - Generous paid time off and flexible scheduling - 100% coverage of medical, dental, vision, life, and disability benefits for single coverage - Generous Paid Parental Leave - Retirement Plans: 401K and Roth 401K - Profit sharing plan - Long- and short-term disability Additional Perks: - Free breakfast and lunch from our in-house kitchen with rotating menus (including snacks!) - On-site gym with a subsidized membership - Frequent company outings - Opportunity to give back to organizations that help individuals in need in the Chicagoland area Professional Development: - In-house education team - classes and resources are offered for continuous learning opportunities - Mentorship Program through your first six months of employment The base compensation range for this role is approximately $125,000-$150,000 contingent on experience. Wolverine Trading's total compensation model includes base salary and an annual discretionary bonus.

• drive operational excellence for the company’s Sarbanes-Oxley (SOX) program • partner with Finance, IT, and Internal Audit to ensure Internal Controls over Financial Reporting (ICFR) are properly designed, implemented, and operating effectively • assist in managing the annual SOX compliance plan, including scoping, risk assessment, and maintenance of the SOX testing calendar • coordinate walkthroughs with process owners to document narratives, flow-charts, and risk-control matrices (RCMs) • perform detailed testing of key manual, automated, ITGC, and entity-level controls • track and report control deficiencies, evaluate severity, and work with owners to develop and monitor remediation plans • develop and maintain dashboards and metrics to communicate SOX status, testing progress, and remediation trends to stakeholders and Audit Committee • support external auditors by facilitating requests and ensuring timely delivery of evidence • advise control owners on design enhancements, segregation-of-duties (SoD) conflicts, and opportunities for automation or efficiency • map and maintain a common control framework that links SOX controls to related compliance requirements (e.g., COSO, COBIT) • manage the centralized GRC tool to house control documentation, testing results, and evidence artifacts • provide SOX training and promote a culture of compliance and continuous improvement across finance, IT, and business operations • perform ad-hoc reviews (e.g., M&A integration, system implementations) to assess SOX impact and design pre-implementation controls. • practice Agile methods and encourage automation to enhance control effectiveness and testing efficiency

• Conduct risk assessments across technical and operational programs • Identify vulnerabilities and compliance gaps and recommend mitigation strategies • Support implementation and validation of security controls • Ensure alignment with DoD governance frameworks and federal security mandates • Perform compliance reviews and internal audits • Support RMF activities including control assessments and documentation review • Track findings and maintain risk registers and remediation plans • Prepare clear, detailed documentation for leadership and Government stakeholders • Collaborate with cybersecurity, cloud, and program teams to strengthen compliance posture

• Support and help mature the Company’s newly implemented Compliance Management System (CMS), including risk assessments, monitoring, issue management, and governance processes. • Implement compliance monitoring and testing across business lines, including marketing, product, operations, and third parties, document findings and support remediation efforts. • Support enterprise compliance risk assessments, including risk identification, scoring, and issue mitigation tracking. • Support the drafting, review, and maintenance of compliance policies and procedures, ensuring they remain current, practical, and aligned with regulatory expectations. • Monitor regulatory developments affecting fintech, consumer lending, and insurance products, and provide practical compliance guidance to Legal and Compliance Management. • Partner with cross-functional teams to embed compliance controls into business processes and support scalable growth. • Establish key performance indicators (KPIs) and metrics to measure the effectiveness of the compliance program.