Compliance Consultant

Position Status This is a full-time position, and hours of work and days are Monday through Friday, 8:00 am to 5 pm Occasional evening and weekend work may be required as job duties demand.

In the performance of their respective tasks and duties all employees are expected to conform to the following:

• Perform quality work within deadlines with or without direct supervision.
• Interact professionally with other employees, clients, and service providers.
• Work effectively as a team contributor on all assignments.
• Work independently while understanding the necessity for communicating and coordinating work efforts with other employees and organizations.

Position Overview:

As a Compliance Officer within our Operations department, you will play a pivotal role in ensuring the adherence to complex ERISA, IRS and DOL requirements for qualified defined contribution and/or defined benefit plans.  This challenging position demands expertise in retirement plan administration, outstanding communication skills, and the ability to lead and support team members, clients, and regulatory interactions.

Key Responsibilities:

• Lead and manage IRS plan audits and DOL plan investigations.
• Assist in the preparation, review and submission of EPCRS corrections.
• Conduct research for associated plans and corporate transactions.
• Present findings for associated plan and corporate transactions to the Senior Management team and Advisory Board.
• Provide proactive educational and consultative support to internal and external clients.
• Respond promptly to and resolve client inquiries.
• Demonstrate proficiency in Rainmaker Product, covering banking, rollover, compliance, fair market value, appraisals, 5500s, testing, business entities, and controlled groups.
• Explain plan design and document provisions effectively.
• Prepare required and discretionary amendments and restatements of plan documents.
• Interpret and communicate IRS, DOL, and ERISA regulations and requirements.
• Exercise judgment in determining acceptable data and ensure compliance with internal and external deadlines.
• Stay current on industry issues, standards, and trends.
• Utilize available tools to meet or exceed clients’ needs.
• Lead training to team on key ERISA topics.
• Undertake special projects as needed.
• Provide backup support to all other department members.

Qualifications:

• High school diploma or GED (College degree preferred)
• ASPPA credentials of QKA, QPA, CPC and/or ERPA preferred.
• 5 to 7 years of retirement plan administration, consulting, and compliance experience.
• Strong time management skills and the ability to handle multiple priorities.
• Excellent customer service skills.
• In-depth knowledge of defined contribution retirement plans, defined contribution a plus.
• Proficiency in plan administration software programs (ftwilliam.com) and Microsoft Excel preferred.
• Physical ability to sit at a desk for prolonged periods and occasionally lift 15 pounds.