Performs compliance testing, testing review, document support and government forms preparation and review for complex retirement plan clients.
Ensures assigned plans remain tax qualified by meeting IRS and DOL reporting and testing requirements.
Maintains client database and enters changes into recordkeeping software.
Completes testing and ensures quality control audit is performed.
Submits financial reports and Form 5500 package for review, correction, approval and submission to client and governing agency.
Consults on, recommends and implements resolutions to client issues, satisfaction, and response.
Maintains awareness of legislative changes and IRS rulings related to retirement plans.
Assists less experienced Compliance Analysts with day-to-day functions.

8 years of progressive plan experience in third party administration environment required.
Successful completion of the ASPPA (RPF-1 & RPF-2 exams) designation.
Advanced knowledge of retirement plan tax law (ERISA) including Revenue Code section 401(a)(4), 416, 414(b), (c), (m), (n), as well as others.
Strong MS Office skills to include Excel.
Bachelor’s degree in a business-related field or industry experience preferred (but not required).
QKA designation a plus.
ASC preferred.

Compliance Consultant

Key skills