Penn Mutual

• Responsible for providing prompt, courteous, and efficient service to producers and Field Offices on HTK products, services, processes, and paperwork. • Provide dedicated support via phone and email to HTK Financial Professionals, assistants and field office personnel in an efficient and accurate manner. • Maintain service standards for quality customer service, turnaround time, accuracy, and follow up. • Provide information to Financial Professionals, assistants, and other field office personnel regarding processing HTK business. • Responsible for researching items by accepting inquiries from the field, tracking results, and assuring the field receives communication regarding the status and / or completion of the request. • Provide education to HTK financial professionals, assistants, and field office personnel on the tools available to obtain requested information.

• Provide thought leadership and technical guidance across IT and business teams on modern software architecture • Define and drive adoption of modern architecture principles including microservices, API-first design, and cloud-native development • Establish enterprise architecture standards, reference architectures, and reusable design patterns for distributed and Java-based systems • Lead architecture and design of scalable applications, including service decomposition, API contracts, and integration patterns • Architect and guide the development of cloud-native solutions leveraging AWS services • Design and govern API ecosystems and enable event-driven and loosely coupled service architectures • Establish monitoring, performance, and reliability standards; lead troubleshooting and continuous optimization • Ensure solutions align with enterprise architecture standards, security requirements, and governance frameworks

• Manage quick-turn marketing requests from sales leaders and internal partners. • Assist in coordinating content creation and other marketing projects from inception to completion. • Contribute to developing content strategies tailored to the needs of our sales team and target audience. • Maintain strong working relationships with sales leaders. • Assist in strategizing and executing social media campaigns, particularly on LinkedIn. • Work alongside the marketing team to execute elements of larger campaigns. • Handle scheduling, calendar updates, internal communications, and other logistical needs. • Help organize internal resources and maintain shared folders and links.

• Serve as a subject matter expert for transaction processing • Analyze inbound requests and determine if requests fall in accordance with control guidelines • Review phone and/or form requests, applying judgment and expertise • Identify processes required to adapt to changing external factors • Build case collateral and present status on Verification Controls • Handle complex verification calls from internal partners • Partner with Contact Center and Special Investigations Unit regarding fraudulent events

• Responsible for managing HTK’s retirement plan platforms and product offerings • Stay current on the regulatory framework surrounding the retirement plan industry • Ongoing engagement with HTK financial professionals • Establishment of quarterly business review meetings with retirement plan product providers • Establishment of periodic meetings with HTK’s Product Team and Sales Support and Business Development team • Perform regular due diligence of approved retirement plan providers • Research and propose new retirement plan product offerings • Partner with RIA Compliance and enterprise Legal • Develop HTK’s ongoing retirement plan training program for financial professionals • Periodic attendance and/or presentation at HTK’s and/or industry conferences or regional summits • Provide leadership to other team members

• Lead the design, development, and implementation of complex software systems and applications • Collaborate with cross-functional teams to understand project requirements and translate them into technical specifications • Provide technical leadership and guidance to junior and mid-level engineers, including mentoring, code reviews, and knowledge sharing • Drive innovation and propose new solutions to improve processes, technologies, and product offerings • Architect scalable and maintainable software solutions that meet performance, reliability, and security requirements • Lead efforts to diagnose and troubleshoot complex technical issues, and implement effective solutions to ensure system stability and performance • Stay up-to-date with emerging technologies and industry trends, and evaluate their potential impact on our products and processes • Communicate effectively with stakeholders at all levels, including technical and non-technical audiences, to convey technical concepts and decisions.

• Design, build, and maintain scalable batch and streaming data pipelines supporting enterprise analytics, reporting, and downstream consumption • Develop and optimize data ingestion, transformation, and orchestration workflows across structured and semi‑structured data sources • Engineer and maintain curated, analytics‑ready data models (e.g., dimensional, canonical, or domain‑oriented datasets) • Ensure data solutions meet performance, reliability, availability, and recoverability expectations • Implement data solutions aligned to Penn Mutual’s cloud data platform strategy , including cloud storage, compute, and analytics services • Apply data architecture patterns that support data lakes, lake houses, and analytical warehouses • Partner with Enterprise Architecture to ensure data solutions conform to technology standards, integration patterns, and security requirements • Contribute to platform evolution decisions, including tooling selection, architectural patterns, and modernization initiatives • Embed data quality checks, validation rules, and observability into pipelines to ensure trusted data • Support data governance and stewardship practices , including metadata management, lineage, and controlled data access • Ensure data solutions comply with security, privacy, and regulatory requirements relevant to financial services and insurance • Collaborate with analytics, reporting, and data science teams to enable self‑service analytics and advanced insights • Translate business requirements into well‑designed data structures and datasets that are easy to consume and reuse • Support downstream use cases including dashboards, regulatory reporting, operational analytics, and advanced modeling • Promote engineering best practices including version control, automated testing, CI/CD, and documentation • Drive continuous improvement through evaluation of emerging data technologies and industry trends

• Review and adjudicate standard and moderately complex life and annuity claims in compliance with policies and regulations. • Validate beneficiary designations and process payments accurately within documented procedures and team SLAs. • Identify and escalate highly complex or unusual cases to senior team members or management. • Maintain accurate records and documentation for all claims handled. • Communicate effectively with beneficiaries, agents, and internal stakeholders to resolve inquiries.

• Own and accountable for all broker-dealer and RIA back-office operations: account onboarding, maintenance, new account review, trading support, cashiering, disbursements, ACATs/transfers, suitability, and field advisor support • Establish and enforce operational standards, SLAs, KPIs, and an operating cadence including capacity planning, escalation paths, and issue management • Build a professional, metrics-driven environment where performance expectations are clear and consistently managed • Oversee supervisory functions for new account review in partnership with the Compliance team, ensuring FINRA, SEC, and MSRB obligations are met • Provide regulatory and control oversight, ensuring compliance with FINRA, SEC, and MSRB; maintain strong procedures and readiness; lead exams and remediation efforts • Collaborate with vendors (e.g., Pershing, DTCC, etc.) to improve platforms, integrations, data quality, and operational resiliency • Conduct a rapid, comprehensive talent assessment of the inherited organization — evaluate who is in the right role and identify gaps • Develop, coach, and hold accountable a team of approximately 40 FTE and multiple direct-report people leaders • Build succession depth; foster a culture of accountability, continuous improvement, and client-first execution • Identify and close significant procedural and control gaps that currently exist in the organization • Design and implement scalable, repeatable processes appropriate for a regulated broker-dealer environment • Establish a quality framework and drive consistency across all operational functions • Lead regulatory exam readiness and remediation in coordination with Compliance and Risk • Lead the implementation of Docupace as the new account workflow, records (books and records), and straight-through processing tool • Own a multi-year transformation roadmap focused on automation, workflow digitization, and operational risk reduction • Collaborate with Technology and vendor partners (e.g., Pershing, DTCC, investment platforms) to improve integrations, data quality, and system performance • Leverage data and analytics to drive decision-making and surface operational risk proactively • Serve as a key member of the Operations Leadership Team; engage directly with the Head of Operations, CHRO, Compliance, Risk, and Technology • Translate complex operational issues into clear executive-level insights and recommendations • Build effective partnerships with advisors and field leadership to improve the advisor and client experience

• Assist with ad hoc project work, including data analysis, reporting, and process improvement initiatives • Compile and categorize data for internal use, preparing summaries and dashboards for leadership • Collaborate with team members to achieve shared goals and contribute innovative ideas