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Retirement Plan Services Compliance Consultant

Dubuque Bank & Trust

in Dubuque IA

Dubuque Bank & Trust is a growing dynamic organization with many locations offering uniquely different banking and financial solutions for businesses and personal clients. As a performance-driven company, we strive to create a culture of excellence with high standards, and high values while providing outstanding growth and involvement opportunities for employees. Join a team that makes "Great Things Happen!"™ 

We are currently seeking a Retirement Plan Services Compliance Consultant to join our growing team. This position can either be remote or on site in our Dubuque, IA office. The Retirement Plan Services Compliance Consultant is responsible for ensuring retirement plans administered by Heartland Retirement Plan Services remain current and adhere to all appropriate ERISA, IRS, and DOL compliance procedures, laws, and regulations. This role will have the responsibility of producing quality and compliant compliance testing and plan documents on an independent basis and have a solid understanding of Defined Contribution plan design concepts along with regulatory disclosure requirements.

  • Performs non-discrimination compliance testing including but not limited to ADP/ACP, Top Heavy, 410(b), 415, and 402(g).
  • Performs contribution calculation, including new comparability.
  • Reviews and interprets plan agreements, documents and amendments for current and prospective clients.
  • Converts new clients to Heartland Retirement Plan Services documents and provides suggested changes for the plan operation and new plan document.
  • Researches plan sponsor and participant inquiries pertaining to retirement plan compliance and employee benefits law as they arise.
  • Responds to plan audit requests; works directly with auditors and sponsors as needed.
  • Reviews processes, procedures and communications and ensures all compliance processes are documented and procedures are available. 
  • Maintains up-to date knowledge of present legislation and proposed legislative changes with regard to ERISA, IRS and DOL law through self-study and company-sponsored training sessions.
  • Consults directly with internal and external partners on compliance related issues.
  • Prepares and delivers all required notices and disclosures to plan sponsors and plan participants.
  • Prepares and delivers all plan documents, restatements and amendments for current and prospective clients.


  • Bachelors’ degree or equivalent work experience
  • 7-10 years of experience in qualified retirement plans with direct emphasis on 401(k) and defined contribution plans.
  • Technical experience in plan design and compliance testing required
  • Experience with ERISA Laws and industry standards and IRS Employee Plans Compliance Resolution System (EPCRS).
  • Experience communicating complex plan design provisions to clients.
  • Proven ability to handle multiple priorities simultaneously with a high level of accuracy and within tight deadlines.
  • Ability to present complex and technical material to audiences of all levels. 
  • Experience working in changing, high growth environments; comfortable with ambiguity and working in matrixed organizations.


QPA, CPC, APA, or similar designation

We’re committed to being an Employer of Choice providing a positive, professional work culture that takes care of the welfare of our team members. We believe in:

  • Talent Development – We provide resources to support internal career growth
  • Recognition and Reward – We provide competitive compensation and rewards programs
  • Corporate Citizenship – We’re committed to making a difference in our communities
  • Balance – We believe in balance between work, leisure, and wellness
  • Empowerment – We help people grow professionally through empowerment to make decisions and take responsibility for them

We offer competitive compensation and benefits, including:

  • Paid time off including vacation and sick days, community volunteering, parental leave, and Holidays.
  • Tuition Benefit plan
  • 401k Retirement plan with company match & Discretionary Profit Sharing plan
  • Subsidized Medical and Dental insurance
  • Free Life and Disability insurance coverage
  • Flexible Spending Accounts
  • Voluntary Vision, Critical Illness, Hospital Indemnity, and Accident plans
  • Employee Assistance program for staff and family members

How to Apply

Submit your resume online using this link

EOE/AA Employer


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