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Section 1: Position Summary

As a key member of the Risk Management Department, this role provides meaningful contributions to, and oversight of, the efforts of the team to proactively identify, assess, monitor, and mitigate risk throughout the organization. The Risk Management team is responsible for coordinating and supporting internal and external audits and risk assessments as well as management of the disaster recovery and business continuity, vendor risk management, access certification and incident response programs.

Section 2: Job Functions, Essential Duties and Responsibilities

Risk Exposure and Analysis

• Responsible for management of incident response program including facilitation of bi-weekly incident response meetings, maintaining up-to-date list of incidents, and providing reporting, trending, and analysis as necessary

• Assist in efforts relating to internal risk assessments at the entity, department, and project levels

Vendor Risk Management

• Facilitate the review, analysis, and due diligence risk assessment activities for new and existing vendors according to contractual and regulatory guidelines

• Review vendor audit reports, disaster recovery/business continuity plans and testing results and work with business owners to analyze any gaps or exceptions and monitor any related remediation efforts

Coordinate Audit Engagements

• Partner with third-party auditing firms to complete all aspects of fiscal year-end financial statement audits of ACS-administered 529, ABLE and State Sponsored Retirement plans

• Responsible for collection and submission of all audit deliverables

• Review audit findings and perform research and validation of any exceptions

• Investigate issues utilizing various systems to examine processing activity, account documentation and department protocol

Internal Control Testing

• Monitor, test, and report on design and effectiveness of internal controls

• Work with management to identify any new controls that arise out of changes to business processes or relevant audit findings, while identifying opportunities to streamline the overall number and structure of controls, as appropriate

Annual SSAE18 (SOC1 and SOC 2) Reports

• Serve as key liaison between external audit firm and internal management, ensuring a transparent, accurate, and timely report development process each year

• Provide data and supporting documentation to external audit partner on as-needed basis

• Monitor remediation plans to ensure that all are completed and implemented in a timely manner

Project Management Initiatives

• Participate in projects aimed at business development

• Assist with various departmental projects including platform changes to process improvement initiatives

• Responsible for protecting, securing, and proper handling of all confidential data held by Ascensus to ensure against unauthorized access, improper transmission, and/or unapproved disclosure of information that could result in harm to Ascensus or our clients.

• Our I-Client service philosophy and our Core Values of People Matter, Quality First and Integrity Always® should be visible in your actions on a day-to-day basis showing your support of our organizational culture.

• Assist with other tasks and projects as assigned

Section 3: Experience, Skills, Knowledge Requirements

• Minimum of 4 years of financial service experience, preferably within risk management, audit, or transfer agency, broker-dealer or investment advisor functions

• Demonstrated ability to work effectively with senior management and across all levels of an organization

• Knowledge of internal controls processes, corporate governance, or enterprise risk management

• Ability to respond to routine multi-tasking as well as complex, unplanned issues while adhering to aggressive deadlines for multiple initiatives

• Proven ability to proactively and independently research issues, gather evidence, and successfully work with various groups throughout the organization

• Exceptional oral, written, and presentation skills with a demonstrated ability to communicate effectively across all functional areas and levels of seniority

• Self-motivated, proactive, and energetic team player

• Excellent interpersonal and communication skills, including the ability to successfully interact with stakeholders at all levels, internal and external, to achieve desired results

• Ability to proactively identify areas for process improvement, prepare process documents/ SOPs, and to turn recommendations into actions, Failure modes and effects analysis (FMEA), Root cause analysis (RCA) etc.

• Work knowledge on basic Information Security

• Strong analytical, problem solving, and organizational skills

• Ability to manage multiple tasks/deadlines with limited supervision

• Detail-oriented, PC proficient, flexible, committed to quality

Preferred Requirements:

• Knowledge of industry-accepted risk management and risk assessment frameworks

• Experience with investment advisor, broker-dealer, and transfer agency regulatory requirements

• Experience working with internal and external auditors

We are proud to be an Equal Opportunity Employer

Be aware of employment fraud. All email communications from Ascensus or its hiring managers originate from @ascensus.com or @futureplan.com email addresses. We will never ask you for payment or require you to purchase any equipment. If you are suspicious or unsure about validity of a job posting, we strongly encourage you to apply directly through our website.

Ascensus provides equal employment opportunities to all associates and applicants for employment without regard to ancestry, race, color, religion, sex, (including pregnancy, childbirth, breastfeeding and/or related medical conditions), gender, gender identity, gender expression, national origin, age, physical or mental disability, medical condition (including cancer and genetic characteristics), marital status, military or veteran status, genetic information, sexual orientation, criminal conviction record or any other protected category in accordance with applicable federal, state, or local laws (“Protected Status”).