Great-West Financial Empower Retirement

Analyst Product Oversight

US-KS-Overland Park | US-CO-Denver (DTC)
5 days ago(1/11/2018 12:27 PM)
Job ID
15206
# Positions
1
Category
Compliance

Position Highlights

Under supervision, supports the oversight of the independent financial experts utilized in Participant Advisory Services product methodology and supports the financial control environment of AAG.

Primary Responsibilities

  • Periodically review participant transactions to make certain the advice provided was successfully and accurately implemented.
  • Periodically review managed account fee setup, calculation and debiting to ensure fees are being assessed correctly.
  • Oversee system enhancement testing and code updates to ensure any impact on services levels and/or the advice provided is reasonable and meets expectations.
  • Review advisory services testing, reporting, operations and processes/procedures to ensure proper controls are in place, documented and stored appropriately. Audit the quality control being done within operations to ensure that the work is being done and report on the outcomes monthly (SSAE 16).
  • Track client/participant account issues and report to management items that require account correction or that are not being remediated in a timely manner.
  • Participate in advisory services oversight projects and initiatives.
  • Assist in the review of advisory services marketing and communications collateral to ensure content is appropriate and accurately describes the services.
  • Assist in the periodic due diligence of independent financial experts.
  • Other duties as assigned.

Qualifications

  • Bachelor’s degree in related field, or equivalent experience
  • 5 years related experience
  • FINRA Series 65 license required within established timelines
  • Advanced Microsoft Windows experience with proficiency in PowerPoint and Excel
  • Familiarity with Managed Account products & platforms desired 

 

Working Conditions/Physical Requirements: Normal Office Working Conditions
Disclaimer: The above statements are intended to describe the general nature and level of work being performed by individuals assigned to this job. They are not intended to be an exhaustive list of responsibilities, duties and skills.

About Great-West Financial

At Great-West Financial® and Empower Retirement, our more than 5,700 global associates are dedicated to helping customers secure their financial futures. We offer a range of retirement savings products, life insurance, annuities and investment services from offices across the country. If you’re interested in joining a company that enjoys a record of strong performance and is rich in history yet innovative, bold and transformative, then our organization is an outstanding place for you to grow and succeed. We’re an equal opportunity employer dedicated to workforce diversity. We’re also committed to providing a drug-free workplace.

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