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Compliance Specialist IV
TPA Experts
(Remote / Norwich NY)
The Compliance Specialist IV is directly responsible for preparing any and all compliance and government filings within company service standards and working with manager and team lead to monitor workloads and ensure deliverables are completed timely and accurately across the team. Mentor and train other team members. Develop new processes and tasks.
Education and Experience:
- Associate's degree and 7+ years related experience or an equivalent combination of education and experience.
- ASPPA Qualified 401(k) Administrator (QKA) designation required.
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.
- Maintain a working knowledge of all plan designs and allocation options, including but not limited to 401(k) 403(b), Davis Bacon, MEPs, PEPs, balance forward valuations, and defined benefit and cash balance combo plans
- 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.
- 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 develop processes and implement best practices that ensure a set standard of service.
- Prepare asset reconciliation and research differences as needed for plan valuation, testing and reporting requirements.
- Prepare outside asset and balance forward earnings allocations and participant validations (monthly, quarterly, annually) as needed.
- Prepare Plan Documents, including but not limited to Restatements, Amendments, SPDs, SMMs and Notices.
- Assist with QDRO allocations and corrective earnings calculations as needed.