• 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

• Develop and execute the company-wide quality vision, strategy, quality management systems and objectives aligned with COE goals • Lead, mentor, and develop the Quality organization, including site Quality Managers and cross-functional teams • Communicate quality objectives, performance, and improvement plans to executive leadership, customers, and regulatory agencies • Champion continuous improvement initiatives such as Lean, Six Sigma, and risk management • Ensure compliance with ISO 9001, IATF, and other relevant regulatory standards • Direct and manage the Global Supply Chain supplier quality organization • Collaborate with Supply Chain and Operations to resolve complex supplier quality issues • Lead and oversee quality planning and execution for new product development (NPD) • Develop, implement, ensure compliance to and maintain a Quality Management System (QMS) • Establish, monitor, analyze and report key quality metrics for quality performance

• Serve as a liaison between the organization’s internal and external clients • Oversee the loan process from start to finish • Communicate with borrowers to assist client(s) in understanding loan programs, costs, and various applicable loan documents • Review and audit income, assets, run DU, and verify credit documentation within mortgage file to ensure loan stability • Review mortgage loan disclosure packages and deliver to borrower, includes but not limited to rate disclosure and re-disclosure packages • Assist in managing a pipeline consisting of Conventional, FHA, VA and USDA loans, along with 203k, Jumbo, and reverse mortgage products • Ensure structure of the loan presents the best program based on the borrower’s financial circumstances • Review the file for any missing documentation that best supports approval • Pre-underwrite items to help support approval of the loan • Input feed for disclosures, present, and set up loan to best fit borrower’s needs