Job Functions
Essential Duties and Responsibilities
- Ability to successfully complete and support the work outlined for the Compliance Associate roles
- Reads and comprehends retirement plan provisions from plan documents, summaries of plan provisions, and related plan materials to ensure accuracy and compliance with regulations.
- Understands, considers and applies legislation and regulations, including but not limited to IRS, DOL, and ERISA, when preparing, analyzing and interpreting information
- Supports DOL, IRS, and Large plan audits
- Supports the Plan Consultants in resolving operational and compliance issues related to qualified plans
- Is responsible for plan administration, compliance and testing for identified blocks of business
- Tracks and monitors job progress to ensure that all necessary data is requested and received in order to meet compliance deadlines
- Prepares annual valuation and compliance reports for Clients
- Provides detailed consultations with Plan Consultant in drafting plan documents, plan amendments, and other legal documents
- Supports and completes assigned quality assurance reviews
- 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
Supervision
N / A
Section 3 : Experience, Skills, Knowledge Requirements
- Bachelor’s degree preferred
- Minimum 5 years of hands on Retirement plan testing experience is a must; 8+ years is preferred
- Experience doing Employer Calculations
- Must have experience with 5500’s and other relevant documents
- Experience with cash basis and / or trust accounting
- 5 years of prior ERISA experience in the retirement industry preferred
- 5 years of experience in analysis of financial data required / testing experience a must
- Strong Word, Excel, and Outlook skills
- Strong written and oral communication skills
- Strong analytical and problem-solving skills
- Strong attention to detail and the ability to prioritize, manage tasks and meet in connection with business operations, including related ERISA compliance matters
- Associate holds Retirement Plan Fundamentals certification upon meeting eligibility requirements
- QKA designation preferred but not required
- Involvement or work towards associates QPA designation preferred
- Prior experience with plan administration software, i.e., Relius, FT Williams, ASC, or Datair
We are proud to be an Equal Opportunity Employer
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