Page 20 - June 2017 Board Retreat BOOK COMBINED NEW

PRESIDENT/CEO/CHAIRMAN

SUMMARY OF RESPONSIBILITIES

PRESIDENT CEO/CHAIRMAN

1. Manage the performance of Senior Management including the following direct reports: 1. Guide and oversee strategic Direction of the firm
 Director of Finance (DoF)  Regional Managers (RM)
 Marketing Manager (MM)  Practice Area Leaders (PALS)
 IT Director (IT) 2. Responsible for setting agendas of the Board of Directors

2. Work with DoF to maintain financial health/ banking relationship
3. Responsible for setting direction and Agendas for Strategic Leadership Committee
3. Work with DoF to manage Errors and Omissions/ Professional Liability Insurance matters

4. Work with DoF to manage benefits including Insurance coverages
4. Monitor/ Set direction of firm ownership (i.e. size of ESOP, generational transfer of
5. Work with MM to manage overall marketing direction/ Resources ownership)

6. Act as liaison between MM and PALS
5. Responsible for maintaining Board/ Leadership relationships
7. Initiate new training initiatives i.e. Counselor Salesperson training
8. Work with IT to make sure we have technology to support our operations
6. Organize Strategic Planning efforts and oversee implementation
9. Act as liaison between IT Director and Regional Managers and Others
10. Work with RM to oversee Operations of the firm including
a. Hiring and/or reductions in force 7. Assist and guide with strategic hiring and terminations
b. Office space and real estate
c. Other major capital purchases
d. Employee relations and morale 8. Steward firm culture

11. Act as advisor to the Operations Team
9. Work with other Senior Principals to maintain external relationships and company
12. Work with PALS to develop Business plans and Marketing Plans Annually image
13. Chair SLC and ensure accountability and progress towards marketing goals
and strategic initiatives
10. Intervene when needed to manage difficult client situations
14. Work with Operations team to advise and guide standing committees on their work
and direction (i.e. TAG, Professional Development etc.)
15. Continue to Function as PIC with significant clients.

BOARD RETREAT JUNE 2017