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Compliance Analyst - 401(k) Administration

Ubiquity Retirement + Savings

in Remote / San Francisco CA

Logo for Ubiquity Retirement + Savings

Compliance Analyst - 401(k) Administration

Company Description

Ubiquity Retirement + Savings® has a simple mission: to empower small businesses and their employees to create a more secure financial future by leveraging technology with affordable retirement solutions and world-class customer support.

For over 23 years, we have helped workers save more than $2.8 billion toward their retirement and opened 401(k) plans for 10,000+ small businesses—pioneering a transparent, flat-fee experience. Our tenured team are retirement experts and future-you champions.

Ubiquity also produced a hard-hitting documentary with producers and editors from CNN, highlighting the challenges Americans face in saving for their futures. Watch Broken Eggs: The Looming Retirement Crisis in America today (link at the bottom of the post) and join the movement towards building a bright retirement.

This is a 100% remote position and we encourage applicants from all over the US to apply. We know that allows you to balance your skill set while being empowered with autonomy as a subject matter expert. Ubiquity is known for our unique and thriving company culture, our ongoing investment in our employees, and for providing a clear career path for your future. We average a 65 eNPS each quarter and our Glassdoor reviews reflect our focus on you. Do more here and make more of a difference to small businesses everywhere!

Learn more about our values: https://www.myubiquity.com/about/

See us in the news: https://www.linkedin.com/company/ubiquity-retirement-savings

Find out what our employees think: https://www.glassdoor.com/Reviews/Ubiquity-Retirement-Savings-Reviews-E101757.htm

Watch Broken Eggs on YouTube: https://www.youtube.com/watch?v=kmtjJVC_niI

We value accountability, collaboration, and transparency. Proudly one of the Best Places to Work and Entrepreneur Magazine's Top 150 Company Cultures, we take what we do seriously and always strive to be happy at work. Our four company values* and our motto “Freedom with Accountability” guide the way we work to support our mission.

We are a growing company that wants you to be a part of our success!

Job Description

The Compliance Analyst, reporting to the Director of Compliance, will work with the Compliance team to handle day-to-day IRS and DOL compliance matters as they relate to the retirement industry and perform annual calculations for retirement plans.  Additionally, they will assist with seasonal high volume projects such as 5500 preparations and filings and non-discrimination testing. The Compliance Analyst will interact with clients and internal service team members via email and occasionally by phone on a day-to-day basis to answer any questions that may require retirement plan compliance expertise. 

Core Responsibilities

  • Take ownership of Plan Sponsor compliance issues and follow problems through to resolution
  • Ensure timely execution of time-sensitive Compliance team functions
  • Keep accurate records and document customer service actions and discussions
  • Process plan document amendments
  • Perform annual non-discrimination testing including, but not limited to, ADP/ACP, Top Heavy determinations, and 410(b) coverage testing
  • Maintain an orderly workflow according to priorities

Qualifications

Competencies

401k Industry - Working knowledge of ERISA regulations governing 401(k) and Profit Sharing Plans (defined contribution).  

Strategic - Observes where current trends will lead, and how they many influence the organization’s direction specifically as they relate to new industry regulations. 

Customer Focus - Focuses on internal and external customers at all times. Takes customer’s perspective to find new ways to improve their experience. Emphasizes a team approach to providing great customer service. Seeks customer feedback and ensures needs have been fully met. 

Communication - Uses appropriate and effective language for any given situation, and actively engages in conversations to understand others’ message.  

Accountability - Takes responsibility for the quality, accuracy, and timeliness of their work, and is capable of achieving results with little oversight.
 

Skills + Experience

  • 5-7 years experience in retirement industry, preferably in a compliance role 
  • Extensive experience in non-discrimination testing, annual form 5500 preparation and filing, and annual Profit Sharing and Safe harbor benefit calculations.  
  • Working knowledge of compliance testing software, 5500 software and tools 
  • Comfortable multi-tasking and with advanced trouble shooting situations 
  • Strong attention to detail and high degree of accuracy 
  • Ability to diagnose problems and produce solutions 
  • Ability to flex between working autonomously and as part of a team 
  • Excellent follow through and communication through email, phone, and in person 

Additional information

This is a salaried, full-time remote position. Please follow application instructions carefully and note that a cover letter is required along with your resume. *Plus, find our four values on our website and list them in your cover letter.

We are focused on building a diverse and inclusive workforce. If you are excited about this role, but do not meet 100% of the qualifications listed above, we encourage you to apply.

We offer:

  • Competitive compensation package
  • Generous stipend toward premiums for medical, dental, and vision
  • Learning and development stipends
  • 401(k) Matching
  • Monthly wellness subsidies
  • Equity incentives
  • Flexible PTO policy
  • Time off for volunteering
  • Emphasis on internal promotions
  • Regular performance reviews
  • Remote work culture

Ubiquity Retirement + Savings is an equal employment opportunity employer for all applicants and employees. We do not discriminate on the basis of race, color, religion, sex (including pregnancy, childbirth, or related medical conditions), gender identity, national origin, ancestry, citizenship, age, physical or mental disability, legally protected medical condition, family care status, veteran status, marital status, domestic partner status, sexual orientation, or any other basis protected by applicable local, state, or federal laws.

How to Apply

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