• Responsible for leading monthly control reports and testing; determining reporting scope and collaborating with impacted business lines and partners on remediation. • Lead policy adherence reviews of new and materially changed procedures and learning materials for alignment to company policy.• Responsible for creating and generating new hire training reports working closely with project managers and business partners to present risks for adherence to the new hire training deadlines.• Identify and address emerging risks by presenting trending topics and concerns to leadership and business partners.• Present opportunities for process improvement through procedure and JIRA issue identification, calibration, and feedback. • Consolidate reporting methodology, rectifying process gaps and updating for policy alignment.• Created daily, weekly, and monthly reports to reflect progress for new hire training program.

• Gather client requirements to ensure the product deliverables meet client expectations.• Report on discrepancy trends and identify system functionality or configuration updates that will reduce errors.• Review export expectations in relation to error reports and communicate with the vendor if results are outside of expectations.• Run and work audit reports to ensure all member records are accurate and transactions have been processed correctly, resulting in accurate coverage.• Manage client deliverables, track progress and complete assigned work on company software.• Utilize the system to execute weekly, monthly & quarterly processes necessary for client success.• Evaluate file’s configuration for accuracy and make updates when opportunities are available to improve system processes.• Test files in a test environment to ensure accuracy before they are moved into our production environment.

• Audit client accounts and analyze the data to identify if there are issues and determine an effective resolution.• Accountable for resolution of all operational exposure issues for client account. • Ensure requirements are delivered with a cost effective manner and are aligned with the overall department and business case.• Provide clients with exceptions, alternative solutions to requests, and identify possible plan design alternatives.

• Assist financial advisers with establishing new accounts, ensuring all necessary documents are on file for clients.• Maintain accurate and complete data on existing client files. Respond to telephone, written, and electronic inquiries from internal and external customers including registered representatives regarding account status, account changes, and the account transfers process.• Act as a liaison between customers/representatives and institutions including banks and clearing firms.• Communicate with internal and external customers to ensure that operations policies and programs are meeting the customer’s needs.• Perform various account calculations/reconciliations. This includes calculating interest and dividend payments and processing incoming contributions and outgoing distributions.• Analyze various operations programs for effectiveness which includes commissions, data transfer and storage, account setup and maintenance, management reporting.• Build strong relationships with our customers.• Implement and maintain programs in operations area to maximize efficient customer service.