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Compliance Specialist III

EPIC RPS

(Remote)

The Compliance Specialist II is directly responsible for preparing increasingly complex compliance and government filings within company service standards and following department procedures to ensure accuracy and quality of deliverables. Review compliance and government filings of other team members within company service standards.

Education and Experience:

• Associates degree and 3+ years related experience or an equivalent combination of education and experience.
• ASPPA Qualified 401(k) Administrator (QKA) designation preferred.

Tasks Performed:

• Prepare compliance tests and year end packages including: review of plan eligibility requirements and determination of eligible participants; review of plan allocation conditions and calculation of requested contributions and forfeiture allocations; ADP/ACP nondiscrimination, 415 annual additions, 416 Top Heavy, and 410(b) coverage tests; and conduct self and peer review as needed.
• Coordination of data input and validation for annual compliance needs, including but not limited to generating and importing employee census, downloading platform asset files, and importing and confirming participant and plan level asset information.
• Prepare, review, and publish Form 5500, Form 5330, Form 8955-SSA and other regulatory forms required. Reconcile and prepare the Form 5500 and all applicable schedules for large filer plans and assist Plan Consultants in answering any auditor questions.
• Maintain a working knowledge of basic complexity plans, including but not limited to safe harbor 401(k) and pro-rata profit sharing allocations. Continue to learn and develop knowledge of more moderate difficulty plans including dual eligibility, integrated profit sharing allocations and ADP/ACP testing failures.
• Prepare asset reconciliation and research differences as needed for plan valuation, testing and reporting requirements. 
• Prepare Plan Documents as needed, including but not limited to Restatements, Amendments, SPDs, SMMs and Notices.
• Assist with QDRO allocations and corrective earnings calculations as needed.
• Research and resolve testing and 5500 issues and questions, which may include collaboration with other departments as needed. Assist and mentor other team members with complex issues and questions. Work with Managers to development processes and implement best practices that ensure a set standard of service.

How to Apply

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