Compliance Coordinator, Compliance Services

Role Overview

The Compliance Coordinator (Compliance Services) supports clients with compliance-related requirements and requests through independent issue resolution to ensure client satisfaction. You will also assist Client Service teams by resolving client inquiries and providing phone support.

Responsibilities

• Support clients’ annual IRS reporting requirements by preparing and quality controlling IRS Form 5500 (Large Forms).
• Apply advanced knowledge to resolve compliance testing issues, including:
  • ADP/ACP
  • 410(b), 415, 402(g), and 416
• Perform and quality control advanced client-requested calculations, including:
  • Profit Sharing integrated
  • QNEC, QMAC
  • Match contributions
  • Review plan documents to ensure provisions are correctly applied
• Support Employer Calculation with resolution of production issues related to investment of client-approved calculations to ensure timely processing.
• Interpret adoption agreement provisions to assist in client resolution.
• Support Client Service teams through timely inquiry resolution and phone support.
• Participate in annual Post Mortem meetings to continuously improve the client experience.
• Act as a subject matter expert by reviewing and updating training materials for instructor-led courses.
• Protect, secure, and properly handle confidential client and Ascensus data to prevent unauthorized access, transmission, or disclosure.

Requirements

• 2–3 years of industry experience in retirement services, including compliance testing and 5500 experience.
• Strong analytical and problem-solving skills.
• Knowledge of ERISA, DOL, and IRS regulations, plus plan document fundamentals (individually designed and prototype).
• Ability to make sound judgments while balancing client needs and organizational considerations.
• Ability to work independently and within a team structure.
• Ability to work additional hours as needed.

Nice to Haves

• Experience serving as a compliance subject matter expert and updating training materials for instructor-led courses.