• Conducted review of business control effectiveness and created comprehensive controls manifest• Created control description, testing procedures, and pass/fail criteria for entry into Archer Governance, Risk and Compliance framework• Completely and accurately document daily, quarterly, and annual audits of key controls to ensure compliance with department procedures, SOC 1 controls, and FINRA Written Supervisory Procedures• Coordinate contingency tests and initiatives for Participant Experience, including phone tree tests, alternate work site tests and maintain Business Contingency Plans• Supports Participant Experience in a consultative capacity, partnering with Corporate Compliance, Legal, Information Security, Internal and external audit, Fraud, Contingency and Enterprise Risk Management

• Partnered with multiple internal departments and external plan sponsors to resolve complex client and plan issues• Conducted plan reviews to identify trends, develop solutions, and improve customer service• Managed competing priorities on a daily basis including managing case queue, ad-hoc requests, participant outcalls, special projects, help line calls, and team responsibilities

• Provided education and guidance regarding retirement plan issues; monitor and transact on participant accounts as requested• Maintained high level expertise with ERISA and IRS regulations, retirement plans (401(k), 403(b)-7, and 401(a) accounts), the mutual fund business, and financial markets• Exceeded department goals for handle time and quality resulting in promotion to assisting high net worth individuals and Non-Qualified plans• Single point of contact for participants for event specific problem resolution issues• Trained new customer service associates on how to meet department goals while providing quality service for participants• Foster relationships with participants to increase client loyalty and increase asset retention