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Senior Compliance Specialist

Role overview

Qualifications

  • Minimum of 8 years of retirement plan compliance experience
  • Strong knowledge of regulatory requirements, plan document provisions, IRS and DOL deadlines, and defined contribution plan compliance practices
  • Strong time management, analytical, problem-solving, and organizational skills
  • Effective communication skills with the ability to interact professionally with internal staff, Account Managers, Legal, and other stakeholders

Responsibilities

  • Perform quality control reviews of plan valuations, contribution calculations, and compliance testing for defined contribution plans
  • Maintain and analyze quality control results to identify trends, training needs, process gaps, and opportunities to improve quality control methodology, capacity, and turnaround times
  • Provide technical compliance guidance and support to Account Managers on plan compliance questions and issue resolution
  • Recommend process improvements that enhance efficiency, accuracy, quality, and client service

Key facts

  • Remote from: United States
  • Full time
  • Senior (5-10 years)
  • Compliance Specialist
  • English

Hard skills

Other skills

  • Analytical Skills
  • Problem Solving
  • Quality Control
  • Time Management
  • Organizational Skills
  • Communication
  • Teamwork

About the company

Pentegra Retirement Services logo

Pentegra Retirement Services

  • Asset & Wealth Management
  • SME
  • 201–500
Pentegra is a leading provider of retirement plan and fiduciary outsourcing solutions nationwide. As one of America’s oldest independent fiduciaries, we deliver retirement plans that run with less risk, greater efficiencies and improved outcomes. With an 80-year legacy of fiduciary expertise and oversight unmatched in the industry today, we partner with firms at the advisor, sponsor and enterprise level to bring maximum flexibility to every opportunity, offering a comprehensive array of retirement plan solutions, plan consulting, TPA services and fiduciary support. Learn more at pentegra.com.

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Job description

Location: Remote

Reports to: Compliance Manager

FLSA Status: Exempt

Job Summary: The Senior Compliance Specialist is responsible for maintaining and elevating quality standards across compliance deliverables by performing quality control reviews, identifying training and process improvement opportunities, supporting Account Managers on complex compliance matters, and helping ensure timely, accurate client service.

Responsibilities:

  • Perform quality control reviews of plan valuations, contribution calculations, and compliance testing for defined contribution plans.
  • Maintain and analyze quality control results to identify trends, training needs, process gaps, and opportunities to improve quality control methodology, capacity, and turnaround times.
  • Provide technical compliance guidance and support to Account Managers on plan compliance questions and issue resolution.
  • Escalate matters to the Legal team when appropriate and partner with internal stakeholders to support timely resolution.
  • Deliver compliance training to support professional development, consistent standards, and ongoing improvement across the team.
  • Support clients on compliance-related matters as needed, reinforcing timely, accurate, and professional service.
  • Recommend process improvements that enhance efficiency, accuracy, quality, and client service.
  • Perform other duties and responsibilities as assigned by management.

Required Qualifications: 

  • Minimum of 8 years of retirement plan compliance experience.
  • Strong knowledge of regulatory requirements, plan document provisions, IRS and DOL deadlines, and defined contribution plan compliance practices.
  • Ability to prioritize workflow and complete responsibilities within client, regulatory, and internal deadlines.
  • Strong time management, analytical, problem-solving, and organizational skills.
  • Effective communication skills with the ability to interact professionally with internal staff, Account Managers, Legal, and other stakeholders.
  • Ability to work effectively under deadlines, changing workflow volumes, and a fast-paced work environment.
  • Commitment to teamwork, professional development, quality standards, and continuous improvement.
  • Proficiency in Microsoft Office, with strong Excel skills.

Preferred Qualifications: 

  • Working knowledge of Relius and FT Williams.
  • ASPPA designation.
  • College degree in math, accounting, finance, or a related discipline.

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