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.

The primary responsibility of the Sr Specialist - Empower Personal Wealth Quality Assurance is to conduct reviews of electronic and/or phone interactions and support analysis of data related to activity of representatives and advisors to support Supervision’s ability to ensure compliance with policies, procedures and rules of the financial services industry. In addition to supporting the day-to-day review functions of the team, the Sr Specialist will serve as a team SME’s and handle more complex reviews. They will also support the Team Leads with various research and reporting tasks as needed.

ESSENTIAL FUNCTIONS:

• Conduct reviews of calls (by listening to recordings, reviewing transcripts, or output of targeted or automated scans and screening tools, etc.) and flagged electronic communications to ensure interactions follow applicable policies and procedures.
• Conduct data analysis, review and prepare reports in support of oversight activities.
• Document identified issues via applicable identification procedures and escalation tools.
• Participate in calibration sessions and team meetings to discuss themes, trends, gaps and findings as appropriate.
• Conduct process training and initiate SOP changes, as needed
• Serve as team SME and handle more complex reviews (based on team/review queues and types).
• Support Team Leads as needed with various research and trend analysis and preparation for calibration meetings as needed.

QUALIFICATIONS:

• Bachelor’s Degree in related discipline or appropriate work experience in retirement / wealth management / financial service industry
• 4+ years of experience in Banking/Financial Services/Operations.
• Working knowledge of retirement plans, retail investment and advisory products preferred
• Intermediate skills using Microsoft Office products
• Sound reasoning and critical thinking
• Excellent written and verbal communication skills
• Experience in peer review or QC/QA role
• Attention to detail is a must

WORKING CONDITIONS: Normal Office Working Conditions: this job operates in a professional office environment and routinely uses standard office equipment.

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.

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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.