Retirement Plan Compliance Analyst - Large/Mega/Non-profit
in Overland Park KS
The Compliance Analyst is, under general supervision, responsible for the successful compliance management and delivery of compliance services for a specific block of retirement business. Understands regulation requirements for compliance
services, participates training, communication of compliance administration topics to clients. #LI-BG1
Responsible for the successful compliance management and delivery of compliance services for block of
business, participates in training, communication of compliance administration topics to clients, and may include institutional business partners
Maintains all necessary systems related to assigned block of business, including Compliance Access
Database, excel tracking spreadsheets, testing and government forms preparation software and other systems as deemed necessary
May assist with the development and maintenance of the specific compliance systems and tools for compliance
Others duties as assigned but not limited to the following: serving as committee leader for the purpose of establishing department level procedures; overseeing compliance and consulting service model to a block of business; and
department lead for any ongoing and/or specific company initiatives or system enhancements.
Bachelors Degree in Business, Finance or related field or equivalent work experience
Minimum two (2) years of
compliance experience or equivalent work experience in related field
Minimum two (2) years experience working with retirement plans
Requires full knowledge of own area of functional responsibility related to compliance services.
Exercises judgment within defined procedures and ability to determine appropriate action.
Excellent customer service skills.
Advanced excel and working knowledge of access preferred.
Knows when escalation is
The above statements are intended to describe the general nature and level of work being performed by individuals assigned to this job. They are not intended to be an exhaustive list of responsibilities, duties and skills.