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Compliance Consultant

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:  Provides compliance testing, testing review, document support and government forms preparation and review for highly 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. May also provide technical training.

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

  • Prepares and reviews non-discrimination tests, top heavy test, coverage tests, 415 annual addition tests on the largest and most technically complex plans.
  • Complex testing on New Comparability plans, multiple employer plans and “high profile’ plans.
  • Completes additional compliance testing that must be done such as 401(a)4 and may also performs and or reviews more complex contributions.
  • Reviews legal plan documents and all employee data and determines participant eligibility.
  • Coordinates year-end processing issues with Relationship Managers/Client Service Managers.
  • Assists with client calls as needed.
  • Leads process improvement projects deemed necessary after annual review of internal procedures by Compliance Manager, incorporating any upcoming tax law updates.
  • Assists in training of new processes.
  • Utilizes technical skills and available tools to solve compliance issues.
  • Works under pressure in a fast-paced, dynamic environment with a high degree of urgency and accuracy
  • Focuses on learning in everyday activities and events.
  • Collaborates with and openly shares knowledge with colleagues.
  • Presents information and responds to questions from managers, clients, and internal customers.
  • Performs other duties, as assigned, that are related to the essential operation of the department.     
  • Regular, reliable and punctual attendance.

Management Responsibilities

  • None

Required Education, Experience and Certificates, Licenses, Registrations

  • Bachelor’s degree in business related filed or combination of education and industry experience
  • 6+ years of progressive plan experience in third party administration environment including experience in preparing, reviewing and explaining qualified plan compliance testing and government forms filing
  • Demonstrated experience in areas of controlled groups, cross testing, catch-up contributions and other technical topics
  • Advanced level of Excel
  • Advanced knowledge of retirement plan tax law (ERISA) including Revenue Code sections 401401(a)(4), 416, 414(b), (c), (m), (n), as well as others.
  • Strong mathematical aptitude, specifically detailed financial reconciliation and data analysis.

Preferred education or skills for this role

  • QKA or QKC designation


  • Analytical
  • Avid Learner
  • Builds Collaborative Relationships
  • Commitment to Excellence
  • Customer Oriented
  • Detail Oriented
  • Excellent Verbal and Written Communication Skills
  • Information Seeker
  • Planning and Organizing
  • Resourceful
  • Team Player
  • Thoroughness
  • 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.

For all virtual remote positions, in order to ensure associates can effectively perform their job duties with no distractions, we require an uninterrupted virtual work space and there is also an expectation of family care being in place during business hours. Additionally, there is an internet work speed requirement of 25 MBps or better for individual use. If more than one person is utilizing the same internet connection in the same household or building, then a stronger connection is required. If you are unsure of your internet speed, please check with your service provider. Note: For call center roles specifically, it is a requirement to either hardwire your equipment directly to the internet router or ensure your workstation is in close proximity to the router. Please ensure that you are able to meet these expectations before applying.

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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