Sr Analyst EPW Audit, Control & Incident Management

Our vision for the future is based on the idea that transforming financial lives starts by giving our people the freedom to transform their own. We have a flexible work environment, and fluid career paths. We not only encourage but celebrate internal mobility. We also recognize the importance of purpose, well-being, and work-life balance. Within Empower and our communities, we work hard to create a welcoming and inclusive environment, and our associates dedicate thousands of hours to volunteering for causes that matter most to them.

Chart your own path and grow your career while helping more customers achieve financial freedom. Empower Yourself.

This role will support reporting, tracking and root cause identification for incident management related to privacy, financial gain/loss, fraud and complaint handling for Empower Personal Wealth. Responsible for accurately reconciling and analyzing gain/loss daily transactions and following up with business owners on explanations and resolutions. Also, assist with the delivery, review, and reporting audit-related functions across EPW and work in concert with business partners to ensure full compliance with industry regulations and policies and are responsible for the accurate and consistent execution of departmental procedures. In addition, there may be opportunities for analyzing existing business processes and making specific recommendations about data tracking needs and how data can impact process improvements.

ESSENTIAL FUNCTIONS:

• Assist with the coordination of action items identified during the bi-weekly Business Error Forum meeting. This would include managing deliverables associated with the root cause analysis and process improvement of a gain/loss event, ensuring long-term sustainability of the remediation efforts.
• Conduct post incident reviews, engaging with business partners to document and track that action plans to eliminate recurrence get completed.
• Identify owners of incident action items and track status of deliverables from those owners.
• Use data analytics to identify trends and anomalies in support of operational processes.
• Assist in the design and scope of the audit program for various control programs and testing steps.
• Document processes (or enhance current documentation), findings, and recommendations for internal review and audit processes.
• Develop monthly audit work papers in a clear and concise manner and in accordance with departmental standards.
• Apply sound judgement in resolving complex operational issues and recommending alternatives.
• Serve as team SME and handle more complex incident reviews.
• Support the Manager as needed with various research and trend analysis and preparation for calibration meetings as needed.
• Conduct process training and initiate SOP changes, as needed

QUALIFICATIONS:

• Bachelor's degree strongly preferred or equivalent industry experience
• Minimum 3-5 years of audit and/or control function support or equivalent experience
• Knowledge of retirement plan operations with focus on institutional and retail individual retirement customer accounts, strongly preferred
• Must possess demonstrated project management skills including but not limited to good planning, time management, decision making, presentation and organization skills
• Proficient knowledge of Microsoft Office Suite (Word, Excel, PowerPoint, Outlook)
• Ability to develop data dashboards, identify data trends and create visual representation.

This job description is not intended to be an exhaustive list of all duties, responsibilities and qualifications of the job. The employer has the right to revise this job description at any time. You will be evaluated in part based on your performance of the responsibilities and/or tasks listed in this job description. You may be required perform other duties that are not included on this job description. The job description is not a contract for employment, and either you or the employer may terminate employment at any time, for any reason.

We are an equal opportunity employer with a commitment to diversity.  All individuals, regardless of personal characteristics, are encouraged to apply.  All qualified applicants will receive consideration for employment without regard to age, race, color, national origin, ancestry, sex, sexual orientation, gender, gender identity, gender expression, marital status, pregnancy, religion, physical or mental disability, military or veteran status, genetic information, or any other status protected by applicable state or local law.