• Prepare and deliver reports, recommendations, and/or alternatives that address existing trouble areas or potential optimizations in operating systems across the organization. • Create system design proposals with consideration of business process improvements, and ensure proper configuration in the system. • Collaborate and coordinate with third party system provider(s), and research new features, software upgrades, production problems and resolutions. • Ensure compatibility and interoperability of in-house computing systems. • Evaluate documented resolutions and analyze trends for ways to prevent repeated future problems. • Collaborate with Senior Analyst to review operational data and assist in data reporting issues with operational leads, strategic analytics, and IT database teams. • Create systems models, specifications, diagrams, and charts to provide direction to system programmers as needed. • Provide production support by working with the company’s Service Desk team and VAR/ASP to insure service restoration, while insuring the proper documentation of problem events is captured; perform root cause analysis, problem/defect resolution, and implementation of corrective measures. • Coordinate and perform in-depth tests, including end-user reviews, for modified and new systems, and other post-implementation support. • Provide orientation and training to end users for all modified and new systems. • Collaborate in the planning, design, development, and deployment of new applications and enhancements to existing applications. • Conduct research on software and hardware products to justify recommendations and support purchasing efforts. • Support cost-benefit and return on investment analyses for proposed systems to aid leadership in making implementation decisions. • Support meetings with decision makers, systems owners, and end users to define business, financial, and operations requirements and systems goals, and to identify and resolve systems issues. • Participate in design sessions in prototyping new systems for the purpose of enhancing business processes, operations, and information process flow. • Review and analyze the effectiveness and efficiency of existing systems and develop strategies for improving or further leveraging these systems. • Identify and establish scope and parameters of systems analysis in order to define outcome criteria and measure-taking actions. • Other duties as assigned.

• Lead the daily review process for all lines of new business to ensure compliance with the firm, broker/dealer, and regulatory guidelines. • Stay fully informed of firm policies, Principal Review Guidelines and procedures, as well as regulatory changes. • Monitor, report, and enforce internal controls to ensure compliance. • Build and maintain positive working relationships with advisors, grounded in trust and respect. • Monitor and follow up on outstanding tasks on a timely basis. • Escalate issues to Supervision Manager as necessary.

• Provide thought leadership and innovative technical solutions for new initiatives • Utilizing agile project management methodologies, manage and configure feature requests within Workday • Support team members and stakeholders with technical issues • Improve workflow processes for efficiency and compliance • Adhere to global data privacy legislation, compliance practices and work with stakeholders to ensure data quality • Stay up to date on Workday releases and assist in release management • Ensure detailed and accurate documentation accompanies all Workday configuration and processes • Identify functional gaps in existing processes or operations when business needs change and provide solutions • Support critical system maintenance and operational tasks within Workday • Provide demos and trainings to internal team members and stakeholders • Build reports, perform data modeling, data analysis, and reporting

• Serve as a subject matter expert in HMDA data management and compliance • Provide advanced support in analysis, testing, and regulatory reporting • Contribute to process development and lead compliance reviews • Act as mentor and resource to junior team members • Conduct root cause analysis and remediate emerging risks impacting HMDA compliance • Participate in Compliance change management processes • Lead execution of HMDA compliance testing programs • Oversee review and resolution of complex HMDA edits • Monitor integrity of HMDA data throughout the loan lifecycle • Collaborate cross-functionally to resolve systemic data quality issues • Prepare and present comprehensive reporting to Compliance leadership • Maintain and improve HMDA-related Standard Monitoring Procedures • Train and support junior compliance staff on HMDA processes • Engage in regulatory research and ensure proactive compliance • Represent Compliance in audit and regulatory examination meetings • Drive enhancements in automation, reporting, and data governance practices