• Perform real-time monitoring of all exchange activity, security feeds, and product safety data to identify potential market abuse (wash trading, spoofing, etc.) and ensure price discovery is fair and not manipulated. • Monitor real-time market data to ensure participant compliance with margin requirements and position limits. • Utilize surveillance tools and dashboards to flag anomalies and escalate concerns. • Conduct post-trade reviews and forensic analysis of flagged transactions. • Conduct investigations of potential rule violations by obtaining testimony, compiling records and drafting investigative reports for presentation to the Chief Regulatory Officer. • Prepare detailed reports on findings and recommend appropriate actions. • Ensure adherence to applicable regulations (e.g., SEC, CFTC, FINRA, etc.) and internal policies. • Assist in preparing responses to regulatory inquiries and audits. • Contribute to the development and refinement of surveillance protocols and compliance frameworks. • Support enforcement of KYC/AML procedures and transaction monitoring. • Work closely with Legal, Risk, and Technology teams to improve surveillance systems and compliance workflows. • Liaise with external regulators and industry bodies as needed.

• Develop, implement, and maintain EHS policies, procedures, and programs • Conduct routine onsite inspections of manufacturing and distribution warehouse operations to identify hazards and ensure compliance with company policies and regulatory requirements • Support incident investigations and root cause analyses; recommend corrective and preventive actions and verify effectiveness • Coordinate responses to regulatory agencies on incident investigations, inquiries, findings and/or complaint allegations • Ensure compliance with applicable OSHA standards, including but not limited to: Hazard Communication (HazCom), Personal Protective Equipment (PPE), Emergency Action Plans, Fire Prevention, Forklift/Powered Industrial Truck Safety, Lockout/Tagout (where applicable), Bloodborne Pathogens (where applicable) • Maintain OSHA injury and illness records, including OSHA 300 logs • Support maintenance of company’s Safety Data Sheet Management Program and ensure employee access to SDS information • Support compliance with applicable U.S. Department of Transportation (DOT) regulations governing the shipment of hazardous materials • Support shipping operations involving hazardous materials to ensure proper classification, packaging, marking, labeling, and documentation • Support investigations and corrective actions related to transportation incidents or compliance concerns • Research and analyze applicable laws and regulations (OSHA, OSHA State Plans, DOT, IATA, IMO and EPA); develop, implement and monitor policies and procedures to ensure ongoing compliance with federal, state, and local requirements • Support and assist with hazardous shipping compliance by ensuring adherence to applicable DOT, IATA, and IMO regulations • Serve as a source for employees and management regarding EHS compliance and best practices • Author and distribute the company's quarterly Environmental, Health & Safety (EHS) newsletter • Serve as an EHS resource for the Corporate Brand Development Group and other business units by researching regulatory requirements and providing technical guidance on environmental, health, and safety matters • Develop and deliver employee environmental, health, and safety (EHS) awareness and training programs to ensure compliance with applicable federal, state, and international regulations, including OSHA, OSHA State Plans (e.g., Cal/OSHA), DOT, IATA, IMO, and EPA requirements • Participate in special projects and perform other duties as required

• Review incoming compliance inquiries and requests, and assist with routing and handling as directed by the Assistant General Counsel • Establish and identify key players within the company for compliance and legal process initiatives • Coordinate compliance and legal process initiatives by tracking progress, scheduling meetings, and facilitating interdepartmental and intradepartmental communication with key players • Keep internal stakeholders informed regarding deadlines, turnaround targets, and status updates • Assist in managing the contract management system for the Compliance department • Provide additional coordination for other Compliance related tasks as requested, including certain licensure and regulatory filings • Coordinate the integration of company affiliate compliance related policies and procedures, as well as with the creation of new policies and procedures as directed by the Assistant General Counsel.

• Play a key part in establishing and developing the healthcare admissions documentation compliance function. • Review patient admission documentation, ensure compliance with legal and regulatory requirements. • Support the development of new processes and SOPs. • Help build a scalable compliance function as the business continues to grow. • Review patient admission agreements to ensure compliance with consent and capacity requirements. • Assess whether patients had the legal capacity to sign documentation at the time of admission. • Verify that third-party representatives have the appropriate legal authority to sign on a patient's behalf. • Identify, investigate, and flag incomplete, inaccurate, or non-compliant documentation. • Escalate complex or high-risk cases where necessary. • Conduct structured audits of historical patient admission agreements across multiple healthcare facilities. • Identify documentation gaps and compliance risks. • Support remediation efforts by accurately documenting audit findings. • Perform ongoing daily reviews of newly completed admission documentation to ensure continued compliance. • Assist in establishing and implementing standard operating procedures (SOPs) for the compliance function. • Develop and maintain process documentation and audit standards. • Help build a scalable compliance framework that can support future organisational growth. • Following training, provide guidance and quality oversight to other remote audit team members as the department expands. • Promote consistent interpretation and application of compliance requirements. • Support the onboarding and training of new team members as the compliance function grows. • Prepare clear end-of-day reports outlining: - Audits completed - Compliance concerns identified - Outstanding issues and escalations • Maintain organised, audit-ready records and documentation.