• Collaborate on the annual risk assessment and development of internal surveillance systems and processes. • Conduct regular audits to assess the adequacy of controls, processes, and procedures in accordance with applicable policies and securities laws. • Identify patterns and trends in analyzed data. • Ensure proper documentation and record retention for review workpapers. • Seek improvements and provide guidance regarding compliance issue identification, root cause analysis and action plan remediation. • Track action plans and prepare reporting for the Compliance Monitoring and Testing Manager on a regular basis. • Assist with development of policies and procedures to address deficiencies uncovered during testing. • Prepare and conduct virtual and physical branch office exams. • Keep current on recent compliance and regulatory issues, trends, and developments. • Other compliance functions as assigned by the Chief Compliance Officer or the Compliance Monitoring and Testing Manager.

• Implement and maintain High Risk Client Framework • Design and implement high risk client identification and evaluation framework • Develop risk scoring methodology and high-risk criteria based on client risk indicators, regulatory obligations and firm risk thresholds • Oversee enhanced due diligence-style reviews • Monitor internal employee and advisor activities for elevated compliance risk • Assess outside business activities and conflicts of interest • Identify patterns and behaviors indicating increased risk • Design and manage heightened supervision plans • Track adherence and escalating issues • Ensure remediation and documentation • Monitor high risk business practices including onboarding, fees, and vendor relationships for conflicts of interest and inconsistent or suspicious activities • Identify deviations from policy and emerging risk areas • Participate in internal reviews based on customer feedback or internal escalations • Conduct risk assessments for clients, employees, and business practices • Develop dashboards and reporting for senior management • Support regulatory readiness and audit documentation

Role Description Join SPP as a Sr. Western External Affairs Coordinator! The Senior External Affairs Coordinator plays a critical role in supporting SPP's Western stakeholder engagement strategy by serving as the operational hub for stakeholder relationships, communications, and engagement activities. This is an ideal opportunity for someone who thrives on creating structure, improving processes, and managing complex information while helping a high-performing team build strong relationships across the Western energy industry. - Serve as the central coordinator for stakeholder engagement activities across the Western Interconnection, ensuring stakeholder information, commitments, and communications remain organized, accurate, and actionable. - Maintain stakeholder relationship records, engagement tracking systems, and organizational intelligence that support consistent outreach and informed decision-making. - Coordinate stakeholder meetings, regional events, travel, conferences, registrations, sponsorships, and follow-up activities to ensure commitments are completed on time. - Monitor stakeholder, regulatory, industry, and organizational developments, sharing relevant insights that support strategic engagement efforts. - Prepare meeting materials, stakeholder summaries, engagement documentation, reports, dashboards, and activity metrics that provide leadership visibility into stakeholder relationships and program effectiveness. - Assess stakeholder inquiries and coordinate responses by partnering with internal teams to ensure timely communication, issue resolution, and a consistent stakeholder experience. - Identify opportunities to improve processes, strengthen stakeholder engagement, and enhance the systems used to manage stakeholder information and relationships. - Partner with the Senior Director and External Affairs team to support stakeholder engagement strategies through operational coordination, planning, and administrative support. Qualifications - Bachelor's degree in public affairs, communications, political science, business, or related field, or equivalent experience. - Five (5) years of experience in stakeholder relations, communications, member services, government affairs support, account management, constituent services, or a similar relationship-oriented coordination role. Requirements - Demonstrated ability to manage a large portfolio of relationships with attention to detail, consistency, and follow-through. - Strong organizational skills with proven ability to manage multiple concurrent workstreams and competing priorities. - Excellent interpersonal and written communication skills for stakeholder correspondence, meeting coordination, and internal collaboration. - Proficiency with CRM systems, Microsoft Office, and collaboration tools. - Comfortable building tracking systems and dashboards. - Discretion and professionalism in handling sensitive stakeholder information. - Comfortable working remotely as part of a geographically distributed team. Benefits - Competitive and transparent pay with bonus opportunities. - Excellent insurance package including three great medical plans to choose from, employer-paid short-term disability, long-term disability, and life insurance. - Relocation bonus (if applicable). - Hybrid working environment for positions that are eligible. - Fantastic contributions to your retirement through a 401(k) savings plan with employer-match benefits and a pension (defined benefit plan) fully funded by SPP. Company Description SPP is about more than power. We’re about the power of relationships. Our employees have the opportunity to work together to ensure electricity is delivered reliably and affordably to the millions of people living in our service territory. We have been voted one of Arkansas’ Best Places to work by Arkansas Business and we are looking for a member of our team who is passionate about our mission to keep the lights on! We have a core ideology here at SPP that we stand by: Do the right thing, for the right reason, in the right way. **PLEASE NOTE:** SPP is not able to sponsor employment visas or student-work authorizations (STEM OPT) for this position. Please ensure you are eligible to work in the U.S. without sponsorship prior to applying. COMPENSATION INFORMATION: The salary range(s) represents our good faith estimate for the role at this time. While we strive to provide competitive and transparent compensation, there may be circumstances where an offer is above or outside of the listed range. We are open to discussing salary expectations with qualified candidates considering factors such as the candidate's qualifications, skills, competencies, experience and geographic location will all be considered during the hiring process. Senior External Affairs Coordinator | Salary range: $77,900 – $99,325

• Act as the primary operational liaison for internal and external legal reviews. • Track contract lifecycles through complex review stages, collate necessary documentation (such as vendor details, data descriptions, and use-case summaries), and proactively chase responses to ensure deadlines never fall through the cracks. • Navigate and track the approval process for accessing internal and external datasets. • Coordinate usage agreements and licenses with external providers, maintain a comprehensive dataset inventory (tracking restrictions and owners), and shepherd proposals through privacy and ethics review processes. • Manage the end-to-end purchase order (PO) lifecycle for team expenses, software licenses, and data access. • Support technical and product teams with structured data entry, formatting tasks, and competitive landscape tracking to keep key data repositories and market intelligence trackers completely up to date. • Work closely alongside program managers, internal legal counsel, and dataset providers to bridge communication gaps, formalize operational responsibilities, and ensure seamless cross-functional alignment.