• Ensure that the Company complies in all material respects with state and federal regulatory requirements through independent research and evaluation • Collaborate with the EVP, Regulatory Counsel on developing effective compliance solutions to business challenges • Collaborate with business stakeholders to develop solutions in the LOS, Encompass, to address business compliance challenges • Develop and maintain a Mavent Compliance Guide to support operations in the origination of loans • Develop, review, and amend policies and procedures as changes in regulations or requirements are identified • Regularly report to the EVP, Regulatory Counsel on matters requiring attention while providing recommendations

• Coordinate the preparation of SEC reports pursuant to the 34’ and 33’ Acts, including Form 10Ks, 10Qs, 8Ks, proxy statements, and registration statements in collaboration with Finance, Accounting and HR. • Administer Section 16 filings for reporting persons and record keeping process. • Assist with capital market transactions, including public and private equity and debt offerings, due diligence, and financing transactions for the Company and related entities. • Coordinate the annual meeting of stockholders, including preparation of annual meeting documents. • Handle quarterly related party transactions tracking and update the related questionnaire annually. • Maintain compliance with SEC and NYSE rules including changes to the NYSE listing manager. • Maintain the entity management database for Section 16 compliance. • Assist with the preparation of board materials and resolutions, board and shareholder consents, and officer and secretary certificates for the Company and related entities. • Manage the transfer agent, including stockholder issues and dividend notices. • Maintain a thorough understanding of Class B shares for Class A share exchanges. • Maintain corporate minute books and records and other legal files, including the electronically shared legal database. • Perform legal research and special projects as necessary. • Assist with the development of company policies to mitigate risks on industry-specific issues, corporate governance matters, or regulatory affairs. • Manage the Legal Team’s technology initiatives and platforms including billing platforms, enterprise risk management (ERM) platforms, and others as necessary.

• Drafting legal pleadings and documents of low, medium, and high complexity; • Monitoring deadlines and hearings; • Updating legal/case management systems; • Preparing reports and case analyses for risk classification and provisioning; • Participation in mediation proceedings; • Occasional representation at hearings.

• Act in high-volume civil litigation, providing end-to-end management of the cases in the portfolio; • Draft petitions, defenses, appeals, pleadings and initial complaints of medium to high complexity; • Attend hearings and present oral arguments when necessary; • Define and implement procedural strategies appropriate to the profile of each matter; • Update case management systems (e.g., LegalBox) and ensure information is well organized; • Maintain direct communication with clients, participating in meetings, alignments and results presentations; • Assist in managing the flow of matters, prioritizing activities according to deadlines and urgency; • Collaborate with the team to continuously improve internal processes; • Monitor risks and propose actions that contribute to the strong performance of the portfolio.