• Manage a team of branch examiners, providing ongoing training, guidance, and support to ensure accuracy and consistency in the application of firm policy and regulatory standards. • Oversee inspections to ensure branch examiners adhere to department policies and procedures. • Develop and maintain inspection program material, including updates to modules and communications, and conduct periodic testing of inspection modules and collaborate with the platform vendor as needed. • Prepare for and perform on-site reviews, including examining books and records, computer systems, and physical premises to identify policy and regulatory gaps. • Develop and provide training to WFG and TFA financial professionals to close knowledge gaps or course correct trends (e.g. creating bulletins, resource guides, and/or providing guidance to the field as appropriate). • Monitor regulatory changes and analyze impact to policies and procedures, taking action as appropriate. • Develop and deliver comprehensive quarterly and ad hoc reporting that synthesizes examination findings, tracks corrective actions, and provides senior leadership with clear insights to drive informed decision‑making and operational accountability. • Foster collaborative and productive relationships with the field, various home office personnel, vendors and other internal and external partners. • Support and drive the continuous improvement of team performance by tracking KPIs, recommending enhancements to core processes, and helping implement tools or solutions that improve workflow efficiency.

• Manage team to deliver and maintain compliant products to meet the needs of the enterprise goals. • Create a high-performing organization to execute products that meet state and federal regulations and compliance and quality throughout the organization. • Understand and guide product development through regulatory considerations and processes. • Works closely with legislative and legal teams. • Anticipate business impact of required legislation and stays informed of potential legislation based on industry information and trends. • Ensure products meet all state filing requirements, and appropriate approvals. • Leads a high performing team • Collaborate with business partners – Actuarial, Marketing, Operations, Product, Sales, and Underwriting – to ensure success. • Effectively communicates business risks and provides proactive solutions.

• Develop, implement, and advise on global regulatory strategies for product(s) • Manage regulatory aspects of compounds through all phases of development • Provide leadership and regulatory oversight for designated projects • Interface with business partners regarding regulatory and registration strategies • Support preparation and submission of regulatory documentation

• The Product Compliance team is responsible for compliance across Kraken’s core trading and capital markets businesses • Working closely with product, engineering, legal, risk, and business leaders, ensure regulatory requirements are integrated throughout the full product lifecycle • Design and oversight of trade surveillance frameworks addressing market manipulation, insider trading, and best-execution risks • Lead pre-deal compliance assessments for potential acquisitions and track remediation efforts post-close • Evaluate regulatory requirements for new jurisdictions and identify applicable compliance obligations • Conduct compliance risk assessments for emerging products and trading features • Build strong relationships with Product, Legal, Corporate Development, and Operations to ensure compliance considerations are embedded early in business planning and product design