Compliance Consultant
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Job Description

This position is responsible for providing superior plan compliance and consulting services to our clients and the internal teams who serve them by embracing a proactive approach to client consultation. Build and strengthen these relationships by utilizing industry understanding and regulatory expertise to provide value-added services to our retirement plan clients.

This position is also responsible for providing leadership by example and serving as a technical resource to ensure client expectations are met and/or exceeded.

Job Functions, Essential Duties and Responsibilities

  • Responsible for the daily oversight of a key departmental production function as assigned by the Leadership team.
  • Extensive knowledge of IRS regulated compliance testing including sections 401(a)(4), 402(g), 414(s), 410(b), 415, and 416 to provide consultative solutions to address our client's needs.
  • Advanced Calculation, Quality Control (QC) and investment of requested employer contributions - Profit Sharing integrated, QNEC, QMAC, Match contributions, New Comp and review of plan document to ensure that provisions have been correctly applied to the calculation. Additional expectations include training fellow associates.
  • Advanced knowledge with plan design to provide consultative service to our clients.
  • Participate in client visits and conference calls for the purpose of educating client regarding plan provisions and the application thereof within the compliance environment.
  • Lead one of our annual Post Mortem meetings that are held in collaboration with other teams throughout the organization to continuously improve the Client Experience.
  • Train other associates within organization by leading or conducting compliance training classes as a Subject Matter Expert for any Compliance Services responsibilities.
  • Train and mentor associates in Compliance Services to ensure processes are reviewed to determine that the best client experience is being provided. Additionally, work with the Leadership team on the training and development plans for new associates.
  • Ability to take lead or participate on special projects within the Compliances Services department or represent Compliance Services on cross-departmental projects or initiatives. This includes providing status update to the Compliance Services team.
  • In collaboration with other teams within the organization, consistently provide a high level of internal compliance consulting to address all compliance related issues and provide necessary research, problem solving and resolution support.
  • 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.

Supervision

  • Train other associates within organization by leading or conducting compliance training classes as a Subject Matter Expert for any Compliance Services responsibilities.
  • Train and mentor associates in Compliance Services to ensure processes are reviewed to determine that the best client experience is being provided. Additionally, work with the Leadership team on the training and development plans for new associates.

Experience, Skills, Knowledge Requirements

  • Minimum 6 years industry experience in retirement services environment, including compliance testing and 5500 experience
  • Ability to make sound business judgments while effectively balancing client needs and organizational considerations.
  • Advanced analytical and problem solving skills.
  • Ability to work additional hours as necessary to meet business needs.
  • Consistently demonstrate a superior level of proactive client focus.
  • Consistent demonstration of applying consultative solutions to address client needs.
  • Ability to work with a high level of independence.
  • Ability to work within a team structure to ensure common goal of providing exceptional customer service.
  • Advanced coaching and mentoring skills.
  • Excellent presentation skills, oral and written communication professionalism and etiquette, client service skills and time management proficiency.
  • Comprehensive knowledge of ERISA, DOL and IRS regulations, and plan documents (individually designed and prototype).
  • Certification or working towards certification (ASPPA, CEBS, etc.) in industry-related studies program preferred.

We are proud to be an Equal Opportunity Employer

At Ascensus, we aspire to make a difference for others. We are a technology-enabled services company that helps people save for retirement, education, and healthcare through our network of institutional, financial advisor, and state partners. Our culture is guided by sound principles, is committed to high standards, operates with transparency, and welcomes diversity-housed within our Core Values: People Matter. Quality First. Integrity Always.

As a leading independent recordkeeping services partner, retirement plan third-party administrator, and government savings facilitator, we aim to hire associates who find pride in going to work every day knowing that they help more than 12 million people save for what matters.

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").


Ascensus is an Equal Opportunity Employer and does not discriminate on the basis of race, color, creed, national origin, ancestry, religion, age, citizenship, sex, marital or veteran status, disability or handicap, sexual orientation or any other basis prohibited by applicable law. Ascensus also takes affirmative action to employ, and advance in employment, qualified women, minorities, and covered veterans. Ascensus also makes reasonable accommodations for qualified individuals with disabilities, in accordance with the Americans with Disabilities Act and applicable state laws

 

Job Summary
Company
Start Date
As soon as possible
Employment Term and Type
Regular, Full Time
Required Experience
6+ years
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