Charles Roberts
Aurora,CO
Summary
- Senior Risk and Controls Analyst with extensive experience in Quality Assurance, Operational Risk Management and process improvements within Financial Services.
- Skilled at evaluating business processes, analyzing data to identify trends.
- Proficient at developing and evaluating Standard Operating Procedures and support audit and regulatory readiness.
- Proven ability to collaborate across business units. Strengthen internal controls, improve operational efficiency and mitigate risk.
Overview
22
22
years of professional experience
Work History
Senior Risk and Controls Analyst
TIAA
Denver, CO
03.2022 - 07.2026
- Oversaw the monitoring, evaluating, and testing of financial records, processes and systems to prepare for internal and external audits.
- Ongoing review of Standard Operating Procedures for Customer Care Teams and Back Office teams that process transactions for accuracy and made necessary recommendations.
- Reviewed transactions from end to end to confirm accuracy and that Standard Operating Procedures were followed.
Senior Quality Analyst
TIAA
Denver, CO
11.2019 - 02.2022
- Reviewed written and verbal complaints responses to clients to ensure complaints were logged in accordance with regulatory requirements.
- Reviewed written and verbal complaints from end to end to confirm the root cause of the complaint, and that the complaint was resolved to satisfaction.
- Reviewed written responses to written complaints for accuracy, and grammar.
National Support Line Consultant
TIAA
Denver, CO
11.2018 - 11.2019
- Assisted Field Consultants and frontline customer service teams with questions regarding transactional items that were not completed during allotted turnaround times.
Team Manager, Beneficiary Relationship Team
TIAA Financial Services
Denver, CO
08.2016 - 11.2018
- I managed a team of Research Analysts that research the identity of beneficiaries for participants as part of the settlement process for both Immediate Annuity (IA) and Deferred Annuity (DA) contracts. The team handles all interactions from the notification of death until payment to the beneficiary.
Team Manager, Customer Care Team
TIAA Financial Services
Denver, CO
03.2015 - 08.2016
- I managed the Denver Customer Care Intake team. The team took incoming calls from internal customers and assisted in the following scenarios:
- Trade and allocation disputes.
- Transactions processed incorrectly
- Inaccurate information provided causing a negative financial impact to the client
Customer Resolution Manager
TIAA-CREF
Denver, CO
05.2008 - 03.2015
- Provide complex research and written correspondence pertaining to a broad range of account inquiries from the inbound call center and other internal business units.
- I also work directly with management as a liaison between consultants and managers to improve communication, provide training and facilitate process improvements.
Financial Services Consultant
TIAACREF
Denver, CO
01.2005 - 05.2008
- Responsible for communicating details of TIAA-CREF retirement plans, after tax investments and insurance products, payment flexibility, investment choices and overall retirement and financial issues to individual, institutional and prospective participants.
Education
Communication
Scottsdale Community College
Scottsdale, AZ12.1992
Skills
Strong verbal communication
Conflict resolution
Extremely organized
Team leadership
Risk management processes and analysis
Staff development
Timeline
Senior Risk and Controls Analyst
TIAA
03.2022 - 07.2026
Senior Quality Analyst
TIAA
11.2019 - 02.2022
National Support Line Consultant
TIAA
11.2018 - 11.2019
Team Manager, Beneficiary Relationship Team
TIAA Financial Services
08.2016 - 11.2018
Team Manager, Customer Care Team
TIAA Financial Services
03.2015 - 08.2016
Customer Resolution Manager
TIAA-CREF
05.2008 - 03.2015
Financial Services Consultant
TIAACREF
01.2005 - 05.2008
Communication
Scottsdale Community College