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View All Jobs, Sorted by Date

Senior Compliance Analyst

Newport, an Ascensus Company

in Remote

Logo for Newport, an Ascensus Company

Newport, an Ascensus company, helps employers offer their associates a more secure financial future through retirement plans, insurance and consulting services. Newport offers comprehensive plan solutions and consulting expertise to plan sponsors and the advisors who serve them. As a provider and partner, Newport is independent, experienced, and responsive.

Job Summary:  Performs compliance testing, document support and government forms preparation for complex retirement plan clients.  Ensures that assigned plans remain tax qualified by meeting all IRS and DOL reporting and testing requirements, including reporting on all accounting and financial activity for the plan.  Communicates with plan sponsors to update and correct required data necessary to perform various testing required by government regulations (ADP, ACP, 415, 401(a)(4), coverage and top heavy testing).  

Essential Functions Reasonable accommodations may be made to enable individuals with disabilities to perform these essential functions.

  • Investigates and clarifies client data or census problems
  • Prepares non-discrimination tests, top heavy tests, coverage tests, 415 annual addition tests on larger and more technically complex plans, including additional compliance testing that must be done such as 401(a)4
  • Review of testing and/or Government Forms
  • Maintains client database and enters changes into record keeping software
  • Completes testing and ensures quality control audit is performed
  • Serves as technical expertise to compliance analysts and provides resolutions to support business
  • Allocates employer profit sharing, matching and/or money purchase pension contributions based upon plan provisions and submits to plan sponsor for approval
  • Calculates contribution corrections or top-heavy minimum contributions for plan sponsors
  • Communicates test results and recommends solutions to client when specific failures are identified        
  • Produces reports from record keeping system for preparation of government forms for client
  • Prepares Form 5500 and related schedules using government forms software
  • Submits financial reports and Form 5500 package for review, correction, approval and submission to client and governing agency
  • Prepares plan document restatements and amendments as requested by plan sponsor.  Interprets prior plan document history
  • Works with administration team to produce distributions or allocations of contributions or forfeitures based upon client approval, and ensures deadlines are identified and met
  • Consults on, recommends, and implements resolutions to client issues, satisfaction, response and any other items necessary to assure customer loyalty
  • Maintains current awareness and understanding of legislative changes, IRS rulings, and expert opinions related to the processing of retirement plans
  • Research new issues to determine their impact on plan qualification status and communicates with manager on daily processing issues
  • Consistently meets and/or exceeds performance expectations with the ability to work under pressure in a very fast paced environment
  • Focuses on learning in everyday activities and events
  • Collaborates with and openly shares knowledge with colleagues
  • Regular, reliable, and punctual attendance

Management Responsibilities (None)

Required Education, Experience and Certificates, Licenses, Registrations

  • Bachelor’s degree in a business-related field or industry experience, or a combination of education and industry experience
  • 4+ years’ experience in employee benefits
  • Experience in testing and 5500
  • Strong MS Office skills

Preferred (but not required) education or skills for this role

  • ASPPA certification
  • ASC preferred


  • Analytical
  • Avid Learner
  • Builds Collaborative Relationships
  • Customer Oriented
  • Detail Oriented
  • Excellent Verbal and Written Communication Skills
  • Information Seeker
  • Judgement
  • Planning and Organizing
  • Problem Solver
  • Resourceful
  • Team Player
  • Time Management

TRAVEL:  Up to 5%


Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities that are required of the employee for this job. Duties, responsibilities and activities may change at any time with or without notice.

At Ascensus, we aspire to make a difference for others. We are a technology-enabled services company that helps people save for retirement, education, and healthcare through our network of institutional, financial advisor, and state partners. Our culture is guided by sound principles, is committed to high standards, operates with transparency, and welcomes diversity—housed within our Core Values: People Matter. Quality First. Integrity Always.®

As a leading independent recordkeeping services partner, retirement plan third-party administrator, and government savings facilitator, we aim to hire associates who find pride in going to work every day knowing that they help more than 12 million people save for what matters.

Ascensus provides equal employment opportunities to all associates and applicants for employment without regard to ancestry, race, color, religion, sex, (including pregnancy, childbirth, breastfeeding and/or related medical conditions), gender, gender identity, gender expression, national origin, age, physical or mental disability, medical condition (including cancer and genetic characteristics), marital status, military or veteran status, genetic information, sexual orientation, criminal conviction record or any other protected category in accordance with applicable federal, state, or local laws (“Protected Status”). 

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