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Director, Internal Controls (Retirement Operations) Job Opening In Charlotte – Now Hiring Ascensus


Job description

Job Functions

, Essential Duties and Responsibilities

Control Framework & Governance

  • Design, implement, and maintain a robust internal control framework aligned with company policies, regulatory requirements, and industry best practices.

  • Provide overall control governance of key financial controls, such as cash reconciliation.

  • Establish and maintain key control documentation across operational activities.

  • Drive root cause analysis and corrective action to mitigate risk in operational processes.

  • Cash Reconciliation

  • Lead a team responsible for monitoring and reconciling cash flows across participant transactions (contributions, distributions, loans, rollovers, fees, etc.)

  • Operations Support & Integration

  • Partner with Operations leadership to drive continuous improvement toimprove adherence to internal policies and regulations.

  • Monitor and enhance financial controls forkey operational indicators.

  • Reporting & Insights

  • Provide actionable insights to senior leadership through regular reporting on financial control effectiveness, risk exposure, and compliance status.

  • Develop metrics and dashboards to track control performance and areas for improvement.

  • Cross-functional Collaboration

  • Influence and educate teams on the importance of strong financial controls in achieving strategic objectives.

  • At Ascensus we are guided by our Core Values of People Matter, Quality First and Integrity Always®.

    They inspire us every day to prioritize an environment of respect for those we serve and one another and should be visible in your actions on a day-to-day.

    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.

    Supervision

  • Build and manage a team of professionals focused on cash reconciliation, internal controls and compliance within operations.

  • Lead a team responsible for cash reconciliation for Operations.

  • Influence a high performing team through implementation of effective talent and performance management, motivation, and coaching.

  • Engages associates in a positive and professional manner where inclusion and diversity of thought are leveraged for innovation and continuous improvement.

  • Works with leadership team to set and execute associate SMART goals/objectives.

  • Maintain asafe and healthy work environment by establishing, following, and enforcing standards and procedures.

  • Section 3: Experience, Skills, Knowledge Requirements 

  • Bachelor’s degree in accounting, finance, or related field (MBA or CPA preferred)

  • 10+ years of experience in financial services operations, with a focus on and progressive experience in internal controls, risk management, and reconciliation; including controls framework and audit practices

  • 5+ years of leadership experience

  • Proven experience and knowledge of the retirement industry

  • Exceptional analytical, problem solving, and communication skills 

  • Strong influencing skills across all levels, including executives

  • Lean or Six Sigma knowledge a plus

  • Background in process automation or systems implementation a plus

  • Results driven/results oriented, problem solver, decision maker

  • Adapts to changing priorities in a dynamic, fast-paced business culture.

  • Prioritizes, organizes, and manages multiple projects simultaneously under constantly changing dynamics.

  • Interacts with and influences management and contributors at all levels of the organization and across functions.

  • We are proud to be an Equal Opportunity Employer

    Required Skill Profession

    Operations Specialties Managers


    • Job Details

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    The Work Culture

    An organization's rules and standards set how people should be treated in the office and how different situations should be handled. The work culture at Ascensus adheres to the cultural norms as outlined by Expertini.

    The fundamental ethical values are:

    1. Independence

    2. Loyalty

    3. Impartiapty

    4. Integrity

    5. Accountabipty

    6. Respect for human rights

    7. Obeying United States laws and regulations

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