The Compliance Coordinator may provide assistance to consultants and attorneys in delivering consulting, compliance and legal services. They may be responsible for preparing plan corrections under IRS and DOL correction programs, manage small to medium-sized projects and participate in special projects. They may prepare fee-for-service engagements, complete plan document review, draft plan-level plan documents and provide administrative support as assigned.
Section 2: Job Functions, Essential Duties and Responsibilities
Organize, index and track data, files and documents
Compile and report data or statistics for the ERISA department
Conduct analysis of data
Manage subscriptions to legal and technical resources
Manage small to medium-sized projects
Participate in special projects (small to large) with ERISA and other departments
Prepare responses for audit requests and subpoenas to regulatory agencies
Provide basic consultations regarding inquiries or responses with regulatory agencies regarding audit request and subpoenas
Assist with IRS document submissions
Complete, audit and propose custom text for employer level qualified retirement plan documents
Review, audit, map employer-level plan documents, including basic consultations regarding document reviews.
Assist with and independently perform fee-for-service engagements, acting as SME as assigned, including basic consultations regarding fee for service engagements
Design and write basic internal or external training modules
Conduct presentations at ERISA technical consulting meetings or other internal ERISA department training
Provide administrative support for attorneys and consultants related to retirement plan technical consulting, Internal Revenue Service (IRS) tax code, Department of Labor (DOL) regulations and other regulatory agencies
Provide administrative support for departmental initiatives and engagements including but not limited to training, travel, board participation, conferences, facilities support.
Mentor associates in position specific functions
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.
Bachelor degree in accounting, finance or related field; or Associate degree in paralegal.
5 years Ascensus or 7 years industry
ASPPA QKA, CISP, CHSP, NALA or equivalent for main discipline
Intermediate proficiency in Outlook and MS Office software applications, specifically Word, Access and Power Point
Strong proficiency in Excel
Excellent client service, and interpersonal skills
Excellent organizational, planning and time management skills.
Detail oriented with high quality within given timelines
Excellent math, analytical and problem solving skills
Ability to prioritize and complete multiple tasks
Strong written and oral communication skills
Strong knowledge of Ascensus retirement plan documents
Functional knowledge of retirement plans and basic knowledge of health and welfare plans
Functional knowledge of the retirement plans industry including the applicable regulatory agencies (e.g. DOL and IRS)
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").
