• Own and manage all compliance testing, office inspections, and best execution reviews, including SEC Rule 605/606 reporting • Prepare and submit regulatory filings including Forms U4, U5, Form BD, Form BR, CMA and MatCon • Serve as the primary point of contact during FINRA and SEC audits, cycle exams, and cause examinations • Manage FINRA Rule 4530 Reporting and respond to all regulatory inquiries in a timely and organized manner • Conduct internal and external communication, and marketing reviews to ensure adherence to FINRA standards • Support Margin and Options compliance and risk management • Support the NH Trust Custody program, including IRA-related compliance matters • Maintain the Compliance Manual and all relevant written procedures, keeping them current with regulatory changes • Administer the Identity Theft Prevention Program (ITPP) and manage Privacy (Reg S-P) and Information Security notice obligations

• Perform balance sheet reconciliation assessments and reviews for all Covetrus entities globally • Perform reviews to assess processes, controls, and segregation of duties and provide value added feedback to drive process standardization and optimization • Participate in cross functional business initiatives and special projects and provide guidance on efficient processes and controls, best practices, and risk management • Perform risk-based operational audits to identify and communicate opportunities to improve processes and internal controls • Provide management with guidance to influence change • Communicate audit results, clearly and concisely • Partner with management to develop efficient and effective corrective action plans and influence improvements to the company’s internal controls • Follow up on the status of corrective action plans and test management’s remediation efforts • Work with external auditors to facilitate audit processes, respond to audit queries, address audit findings, provide necessary information on controls, or explain procedures • Develop and maintain strong relationships with key stakeholders to ensure collaboration in audits or projects • Participate in the risk assessment process • Maintain controls framework and related narratives or flowcharts

Role Description The Vice President (VP) of Compliance and Internal Audit is responsible for leading the organization’s corporate compliance and ethics program, overseeing compliance monitoring, and directing internal audit functions. This executive role drives the development and enforcement of internal controls that foster a strong culture of ethics, compliance, and operational effectiveness. The VP provides independent oversight to assess the organization’s adherence to regulatory, contractual, and program requirements. This position reports to and advises the Audit, Compliance, and Governance (ACG) Committee of the Board of Directors, ensuring transparent communication on compliance and internal audit activities across the organization and with external stakeholders. Through strategic leadership and robust governance practices, the VP of Compliance and Internal Audit plays a critical role in ensuring the organization operates at the highest standards, applies evidence-based guidance, and maintains a state of continual improvement. This position significantly contributes to the organization’s integrity, reputation, and long term growth. Qualifications - Bachelor’s degree in business administration, law, finance, or related field required as determined by HR. - 10 years’ experience in corporate compliance, internal audit or related fields with 5 years in management roles. - In-depth and applicable knowledge of federal, state, and local regulations impacting healthcare, Medicare, Medicaid, and commercial markets. - Exceptional leadership, communication, and interpersonal skills, with the ability to influence and collaborate effectively across all organizational levels. - Proven ability to effectively engage and collaborate with stakeholders at all levels, including executive leadership and the Board of Directors. - Demonstrated experience advising internal and external customers, producing data, and providing insights based on professional expertise and a comprehensive understanding of organizational impact. - Skilled in presenting to, collaborating with, and making strategic recommendations to executive leadership and the Board of Directors. - Expertise in strategic planning, budget development, and the implementation of operating plans to achieve organizational goals. - Strong leadership skills with extensive experience in leading teams, driving results, and maintaining operational efficiencies. - Highly adept at building and nurturing relationships, with strong organizational skills to manage multiple priorities effectively. Requirements - Master’s degree in Public Policy, Law, Government Affairs, Business Administration, Finance, or related field as determined by HR (preferred). - Juris Doctor and/or CPA certification (preferred). - Other relevant compliance, quality, or internal audit licenses, credentials, or certifications (preferred). Benefits - Health, Dental and Vision Insurance - Voluntary Insurance Plans - Health Savings and Flexible Spending Accounts - 401k and Company Match - Company-paid Life Insurance - Education Assistance Program - Paid Sick Leave - Paid Holidays - Increasing PTO Accrual Plan - Medical/Parental/Disability Leave - Workers Compensation - Retiree Benefits - Severance Package - Employee Assistance Program - Financial and Health Wellness Benefits - Casual Dress - Open Office Setting - Online Learning System

• Responsibility for overseeing and approving the onboarding of ARs • Responsibility for overseeing the ongoing monitoring AR’s (including final sign off for their Financial Promotions) • Review and approval of financial promotions for s21 clients, including high risk products • Assisting with FCA filings