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 supports the Empower Personal Wealth Supervision, Audit & Controls group. The role supports the organization through review of electronic interactions and data analysis to ensure adherence to policies, procedures and rules of the financial services industry.

DUTIES / RESPONSIBILITIES / ESSENTIAL FUNCTIONS:

• Conduct reviews of flagged electronic communications to ensure interactions follow applicable policies and procedures.
•  Identify any potential violations of internal policies, industry regulations, or legal requirements. This is a critical part of maintaining compliance and mitigating risks.
• Regulatory Compliance: Communications that could suggest potential violations of securities laws (like FINRA rules), data privacy regulations, data loss prevention, or other applicable industry-specific requirements.
• Risk Management: Messages that could expose the organization to legal liability, including those related to confidential projects or conflicts of interest.
• Sensitive Information: Communications containing potentially sensitive data, such as personal identifying information (PII), protected health information (PHI), or financial data.
• The designated reviewers examine flagged communications to assess their potential risks and determine if a policy violation has occurred. This structured review process allows reviewers to investigate flagged messages and take appropriate remediation actions and/or escalate it to the next level.
• Conduct data analysis, review and prepare reports in support of oversight activities.
• Document identified issues via applicable identification procedures and escalation tools.
• Collaborate with team members and onshore partners on assigned oversight activities.
• Share best practices and support administrative tasks as appropriate.
• Demonstrate excellent organizational skills with good time management
• Fingerprint required

EDUCATION:

•            Bachelor’s Degree in related discipline

OTHER PREFERRED QUALIFICATIONS:

• Finance graduate with 2-3 years of work experience audits / supervision
• Familiarity of retirement plans, retail investment and advisory products a plus
• Preferred hands-on experience with the functionalities of Proofpoint email security suite, such as filtering, threat detection, data loss prevention (DLP), and compliance features.
• Basic knowledge of Microsoft Office products
• Able to grasp/learn new concepts and procedures quickly
• Sound reasoning and critical thinking
• Excellent written and verbal communication skills
• Attention to detail is a must

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 to 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.