• Partner with the AMLCO (and/or CCO) to maintain, enhance, and operationalize the firm’s CIP/KYC, AML, Anti-Fraud, and Fraud Monitoring initiatives across both the firm’s Securities and Crypto entities. • Lead and maintain periodic firm-wide risk assessments covering BSA/AML, sanctions, fraud, and surveillance programs. • Oversee transaction monitoring systems, blockchain analytics tools, and case management workflows. • Conduct in-depth investigations into potential suspicious activity across crypto, equities, and other financial instruments, including market manipulation, fraud, account takeovers, money laundering typologies, and other financial crimes through transaction monitoring alerts, escalations, and referrals. • Prepare, document, and file Suspicious Activity Reports (SARs) in compliance with FinCEN requirements and internal policies. • Review and respond to sanctions screening alerts, FinCEN 314(a) and 314(b) requests, and other regulatory inquiries. • Partner with internal stakeholders and assist during external audits, examinations, and regulatory inquiries and engagements. • Provide guidance and support across various business units, including trading, operations, and customer support, to ensure alignment with compliance protocols. • Support the development and refinement of policies, procedures, monitoring controls, and compliance reporting mechanisms. • Lead and contribute to special projects, compile investigative findings, and prepare reports for management, regulators, and auditors. • Stay current on evolving regulatory requirements and industry best practices, with a focus on the Bank Secrecy Act, the USA PATRIOT Act, OFAC sanctions programs, MSB AML Regulations and applicable federal and state laws, rules and regulatory expectations, and proactively assess their impact on the firm’s business and compliance programs.

• Develop and maintain AML frameworks: Continuously improve internal AML/CTF policies aligned with U.S. (BSA, USA PATRIOT Act, OFAC, FinCEN) and international standards. • Lead KYC/KYB/CDD processes: Standardize and optimize data collection and monitoring, ensuring quality and compliance. • Monitor and investigate transactions: Use advanced data tools (SQL, Python, ML-based detection) to detect anomalies and file SARs as required. • Assess and mitigate risk: Evaluate compliance risks in new products and services, ensuring alignment with U.S. and global regulations. • Engage with regulators: Manage reports, audits, and communications with regulatory authorities. • Educate and empower teams: Deliver training on AML/CTF awareness, new regulations, and best practices. • Collaborate across teams: Partner with Legal, Product, Tech, and Operations to embed compliance into every process. • Drive innovation: Experiment with AI and automation to strengthen detection, accuracy, and efficiency.

• Perform screening and KYC reviews for existing and potential clients in accordance with applicable laws and internal policies. • Manage, coordinate, and respond to KYC requests from banks, vendors, clients, and/or regulatory bodies. • Contribute to developing and maintaining compliance-related policies and procedures. • Prepare, review, maintain and ensure timely and accurate filing of statutory, regulatory, and corporate documentation in compliance with applicable laws and internal governance requirements. • Address data privacy matters, ensuring adherence to GDPR and other data protection regulatory requirements. • Conduct research on regulatory requirements across different jurisdictions. • Draft and review various commercial agreements. • Assist in maintaining internal contract lifecycle management system (CLM). • Perform other duties to support senior team members as needed.

• Conduct and/or review investigations into suspicious activity and escalate where appropriate. • Prepare and submit timely STR/SAR, Casino Disbursement Reports and any additional regulatory reporting as required/directed. • Maintain compliance with federal and provincial/state-level AML regulations (e.g., FINTRAC, BSA/AML, FINCEN, etc.). • Perform KYC/CDD/EDD reviews, including PEP and sanctions screening. • Contribute to internal AML audits and support regulatory exams. • Stay up to date on emerging AML risks, patterns, and evolving regulatory expectations in both the U.S. and Canada. • Assist in drafting, maintaining, and updating AML policies, procedures, and internal controls to ensure alignment with U.S. and Canadian regulatory requirements. • Other duties as assigned.