LPL Financial

• The ability to service a book of business upon hire • The ability to build a strong client base with the credit union’s exceptional referral system • Several branch territories with significant deposit base, which includes current members who need an advisor to support their financial goals • The opportunity to find new clients via the credit union’s member base • The opportunity to create client solutions without proprietary products • The ability to grow your business with LPL’s combination of tools, technology, and support • The opportunity to capitalize on the credit union’s reputation and community standing

• Serve as the primary point of contact for advisors and field leaders. • Own advisor inquiries end-to-end, clarify requirements, and deliver timely resolutions. • Gather, analyze, and interpret compensation and financial data to fulfill complex research requests. • Design and deliver tailored training, job aids, and presentations. • Provide practical, client-ready guidance on compensation practices, policies, and procedures. • Continuously improve processes and controls by using trends and feedback. • Support core operational duties as needed to ensure service continuity. • Contribute to special projects and initiatives by evaluating opportunities and developing recommendations.

• Organize and execute assigned business projects on behalf of clients (recruiting, business structure, products, payroll, promotional campaigns, etc.) according to client’s requirements and recommendations • Meet with assigned clients, per our service model, when needed and perform an initial assessment of a problematic situation • Collect information about the client’s business through a variety of methods (shadowing, interviews, surveys, etc.) • Analyze and interpret data to identify areas of improvement • Formulate recommendations and solutions and present to clients • Partner with the clients to implementing plans and resolve any issues • Help advisors navigate products and services available • Collaborate with internal teams and external partners • Facilitate completion and implementation of advisor business plans

• Partner with the Business Development recruiters to understand the prospect’s needs and plan and execute the transition and assimilation • Provide hands on support to the advisors in order to help them transition their clients and accounts quickly and seamlessly • Manage the relationship and experience of new financial advisors and firms during their transition and assimilation into LPL • Execute multiple client engagements simultaneously • Identify opportunities and create solutions to expedite and improve the transition and assimilation process • Understand, utilize, and stay current with our technology, industry best practices, financial markets, the regulatory environment, and the competitive landscape

• Establish and communicate an AI product strategy aligned with business priorities and growth objectives • Conduct market research, evaluate industry trends, and identify opportunities for AI within financial services • Translate business needs and user insights into clear product requirements and roadmaps • Partner with cross-functional teams to support the full product lifecycle, from concept through launch and ongoing enhancements • Promote responsible AI practices, including ethical considerations, governance, and transparency • Define and track key metrics to assess product performance and impact • Share product strategy, updates, and outcomes with leadership and stakeholders • Stay informed on developments in AI, machine learning, and related technologies, and assess their relevance to the organization • Support and guide teams in AI product practices, encouraging collaboration and knowledge sharing

• Provide comprehensive administrative and operational support within the financial advisor’s practice. • Enhance client relationships, ensuring compliance with industry regulations, and supporting the firm’s growth initiatives. • Serve as the primary point of contact for clients, addressing inquiries, resolving issues, and educating them on firm services and solutions. • Assist with account-related requests, including transactions, maintenance, and online access, while ensuring compliance with regulatory standards. • Manage client onboarding by collecting documentation, assessing risk profiles, and maintaining accurate records. • Prepare reports and meeting materials, monitor account alerts, and support audits and regulatory reviews. • Collaborate with financial advisors on business plans, marketing initiatives, and client engagement strategies. • Perform administrative tasks such as scheduling, travel arrangements, and expense reporting.

• own and maintain the supervisory controls framework, including inventories of control ownership, Written Supervisory Procedures (WSPs), user guides, supporting procedures, and related documentation • establish and execute routines to ensure documents are reviewed, updated, approved, and communicated as processes, controls, or regulatory expectations change • drive change management activities tied to process, policy, system, and procedural updates • represent Supervision on control, governance, and change-related committees; prepare materials, communicate key decisions and action items • produce regular reporting and leadership readouts on control framework health, documentation status, change activity, audit and testing readiness, open issues, and management action plan progress • own the audit and compliance testing calendar and lead readiness routines in advance of planned events • partner with business line leaders before, during, and after audits and testing engagements to assess readiness • support the development of practical, well-scoped management action plans and oversee ongoing tracking, monitoring, and reporting through closure • maintain risk and control inventory records • identify control gaps, documentation inconsistencies, or governance weaknesses and recommend pragmatic improvements to strengthen the overall supervisory control environment • lead, coach, and develop direct reports, establish priorities across the team, and create a disciplined operating cadence for recurring governance and readiness activities

• Own and manage a portfolio of control-related initiatives from assessment and planning through execution, implementation, and follow-through. • Develop a working understanding of a variety of supervisory control areas and quickly get up to speed on the business processes, systems, stakeholders, and risks associated with each initiative. • Review available data, reporting, insights, documentation, and feedback to understand how a control area is performing today and where opportunities exist to strengthen effectiveness, efficiency, and user experience. • Conduct interviews and working sessions with impacted staff, leaders, and partners to assess current-state execution, pain points, strengths, weaknesses, and practical improvement opportunities. • Help define and propose future-state processes, workflows, or operating approaches that better meet business, control, and experience needs. • Translate initiative scope into clear roadmaps, milestone plans, deliverables, dependencies, owners, and timelines, and maintain accountability against those commitments. • Execute within a defined delivery framework to ensure progress is consistently documented, tracked, escalated appropriately, and communicated to key stakeholders. • Provide regular updates on initiative status, risks, issues, dependencies, decisions, and overall progress to stakeholders and leadership. • Bring the right partners into the work at the right time to gather input, secure buy-in, maintain alignment, and support effective adoption. • Coordinate across impacted groups, including Supervision business line leaders, Product, Technology, Compliance, Risk, operations partners, capacity management, and business readiness teams. • Support initiative activities such as current-state and future-state mapping, requirements gathering, action planning, readiness planning, issue tracking, and implementation coordination. • Maintain strong delivery discipline across meeting notes, action items, decision logs, milestone tracking, status reporting, and documentation of execution progress. • Monitor commitments across all contributors and deliverable owners, helping drive follow-through and accountability beyond directly owned tasks. • Apply judgment and structure to work through ambiguity, competing priorities, and changing business needs while keeping initiatives on track.

• Support the execution of program goals and management objectives, with a strong focus on Financial Planning, Managed Money, and Insurance business growth. • Partner with the Regional Investment Director to drive results across key performance indicators, including AUM growth, productivity, and advisor headcount. • Provide hands-on coaching and development to Financial Advisors to enhance sales effectiveness, deepen client relationships, and improve adoption of core solutions. • Reinforce consistent use of financial planning and advisory tools to promote holistic client engagement and strong practice management discipline. • Assist in managing relationships with bank and credit union partners, ensuring alignment to strategic priorities and supporting execution of growth initiatives. • Identify opportunities within the advisor population through performance data and field observation; implement targeted actions to improve outcomes. • Support recruiting efforts by helping to identify, attract, and onboard high-quality Financial Advisors into the program. • Act as a day-to-day resource for advisors, helping to resolve challenges, remove barriers, and escalate complex issues as appropriate. • Help maintain a strong risk and compliance culture by reinforcing adherence to regulatory requirements and program policies. • Contribute to a positive team culture that emphasizes accountability, collaboration, and continuous improvement. • Support change management efforts by helping advisors navigate evolving program initiatives, tools, and expectations.

• Establish and collaborate with a community of LPL Advisors interested in offering business exit planning to build a pipeline of investment banking referrals. • Contribute to maintaining and expanding the team’s referral network of High-Net-Worth wealth adjacent service providers, including Investment Banking, Business Advisory, OTC Hedging and Monetization. • Proactive sourcing of leads through LPL advisors of qualified business owners ready for sale or scale. • Dispositioning, follow up, and follow through of qualified business planning leads. • Occasional public speaking and conveyance of advanced subject matter in small and large public speaking settings.