• Contribute Compliance expertise to the Risk and Compliance and Money Transmission Licensing function • Responsible for assessing, managing and enhancing the day-to-day compliance advisory functions for the North American OFX entities (US and Canada) • Focus on money transmission licensing coordination relative to key individual and regulatory reporting obligations • Work closely with senior members of the North American Licensing and Compliance function and executive leaders across the Legal, Data and Finance functions • Ensure compliance with Money Transmission Licensure reporting obligations, call reporting, key individuals, and significant events • Provide prompt and thorough advice and guidance to the business and stakeholders on enquiries and complex matters • Identify and progress control and process improvement opportunities • Support the NA Licensing Manager, NA Senior Compliance Officer, and the Head of NA Compliance in compliance with new regulations applicable to money transmission, consumer protections, and derivatives.

• Oversee and review high-risk individual and retail client cases within SLAs, ensuring timely and accurate resolution • Lead complex EDD reviews involving PEPs, adverse media, and source of wealth/funds assessments, and provide expert guidance to analysts on case decisions and best practices • Act as the primary escalation point for the team and cross-functional stakeholders, liaising with MLROs and Compliance leadership on complex or borderline cases • Oversee the client off-boarding process for high-risk retail clients in line with internal policy and regulatory requirements • Monitor team output quality and drive continuous improvements to EDD workflows, SOPs, and decision frameworks • Maintain up-to-date knowledge of AML/CFT regulations and virtual currency developments relevant to individual and retail clients • Manage high risk customer escalations from the first line of defense and other business units • Drafting of documentation including, but not limited to policies, programs, procedures, guidance documents, training materials, and impact assessment/analysis • Build and maintain strong relationships with MLRO teams and key internal stakeholders • Mentor and develop team members, lead AML/CFT training programmes, and foster a high-performance culture

• Oversee daily monitoring of personal trading for all Access Persons and Covered Associates, including pre-clearance, account disclosures, and review of trade activity • Administer the Code of Ethics and ensure full compliance with SEC, FINRA, and internal policies • Lead, coach, and develop a team of Compliance professionals with clear goals, mentorship, and feedback • Partner with business, Legal, and Risk leaders to embed compliance expectations into processes and decision-making • Track and report key program metrics, escalating issues and recommending remediation when needed • Develop and maintain policies, procedures, and training related to personal trading and Code of Ethics • Monitor regulatory developments and guide updates to Empower’s compliance framework • Support sub-adviser and vendor due diligence, including data collection, certifications, and on-site reviews • Collaborate with technology teams to enhance compliance systems, analytics, and automation using sound governance controls • Present program updates and insights to senior leadership, Compliance committees, and boards

• Perform tasks at a country level associated with Site Activation (SA) activities • Serve as Single Point of Contact (SPOC) in assigned studies for investigative sites, Site Activation Manager (SAM), Project Management team, and other departments • Ensure adherence to standard operating procedures (SOPs), Work Instructions (WIs), quality of designated deliverables and project timelines • Perform start up and site activation activities according to applicable regulations, SOPs and work instructions • Distribute completed documents to sites and internal project team members • Prepare site regulatory documents, reviewing for completeness and accuracy • Ensure accurate completion and maintenance of internal systems, databases and tracking tools with project specific information • Review and provide feedback to management on site performance metrics • Review, establish and agree on project planning and project timelines • Ensure monitoring measures are in place and implement contingency plan as needed • Inform team members of completion of regulatory and contractual documents for individual sites • Review, track and follow up the progress, the approval and execution of documents, regulatory, ethics, Informed Consent Form (ICF), and Investigator Pack (IP) release documents, in line with project timelines • Provide local expertise to SAMs and project team during initial and on-going project timeline planning • Perform quality control of documents provided by sites.