• 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.

• Define the vision and technical roadmap for Mercury’s FinCrimes team • Build flexible, high precision monitoring platforms • Ensure reporting requirements are seamless and efficient • Partner with engineering, risk strategy, data science, and risk operations to design APIs, data platforms, rule engines, and model orchestration workflows • Enable continuous improvement by designing feedback loops that connect decisions to outcomes • Collaborate with domain PMs (fraud, onboarding) to build reusable capabilities that reduce redundancy and amplify speed • Establish a platform strategy that balances extensibility, resilience, observability, and performance. Balancing internal systems with external partners. • Define and track platform health, adoption, and impact metrics

• Performing the due diligence on new/existing Clients, requesting the KYC information, documentation, review and verification of received documentation and making an analytical risk assessment for new Clients; • Thoroughly and succinctly document the research and analysis related to the financial activity and related entities of Clients, for an audience that includes Management, Regulators, Internal Audit, Senior Managers and Internal Compliance; • Periodically evaluate existing Clients according to established policies and procedures; • Periodical review of KYC records as to completeness, including verifying that due diligence has been performed and that CB standards are complied with; also that the files and risk assessments are current and up to date; • Investigating high risk clients and reporting where necessary, including Politically Exposed Persons, and obtaining all necessary documentation to complete the client file; • Process entries to open/close clients’ accounts on our KYC / Related Parties and CDD database, and instruct Client Desk to open/close the accounts on account level in Equation where applicable; • Maintain continuous contact with customer in order to keep customer file updated; • Communicate effectively and efficiently with relevant internal and external parties to obtain KYC documents; • Have a thorough understanding of client’s business and related parties in order to monitor client’s activities for unusual transactions; • Perform further investigation on identified suspicious client and client’s transactions and report to KYC/AML compliance officer; • Responsible for a good understanding of CB due diligence regulations, policies and procedures;

• Oversee AML compliance requirements • Ensure compliance with regulatory requirements under the Bank Secrecy Act (BSA), USA PATRIOT Act, FINRA Rule 3310, and other applicable laws impacting the firm. • Coordinate AML activities across the organization to identify areas for program improvement, assist with issue resolution, and implement policies and procedures to mitigate financial crime risk. • As new AML-related rules are passed and existing rules evolve, work with partners to research, interpret, and develop recommendations regarding their impact on the firm’s broker-dealer platforms. • Demonstrate AI literacy by evaluating, adopting, and optimizing artificial intelligence tools to strengthen AML controls, improve transaction monitoring, and support regulatory compliance. • Stay informed on AI-driven advancements relevant to financial crime detection and compliance processes. • Coordinate regulatory training materials related to AML compliance for employees and registered representatives. • Maintain a thorough and up-to-date understanding of AML regulations through ongoing education. • Collaborate and consult with stakeholders to make recommendations on documentation and information necessary to achieve AML compliance goals. • Assist with development, testing, and oversight of AML-related controls for trading and operational platforms. • Apply AI literacy to assess, recommend, and document AML workflows, automate routine compliance tasks, and enhance data analysis capabilities. • Provide guidance to team members on responsible and effective use of AI tools. • Contribute to AML risk assessments and customer risk rating processes. • Develop, analyze, and recommend policy and procedure changes based on business line reviews. • Facilitate periodic reviews of AML processes with content owners to ensure execution aligns with policy. • Support compliance operations related to trade surveillance, sanctions screening, and suspicious activity investigations. • Assist in compliance department functions as needed. • Identify opportunities to improve efficiency in AML workflows. • Document and maintain standard operating procedures (SOPs).