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Senior Plan Compliance Associate

BOK Financial

in Houston TX / Tulsa OK / Scottsdale AZ

The preferred location for the position is Houston, TX, however, we will consider candidates in Tulsa, OK or Scottsdale, AZ

BOK Financial (BOKF), Headquartered in Tulsa, Oklahoma, BOK Financial Corporation (NASDAQ: BOKF) is a top 25 U.S.-based financial services holding company with operations in ten states – Oklahoma, Texas, Arkansas, Arizona, Colorado, Kansas/Missouri, New Mexico, Nebraska and Wisconsin. The company began more than 100 years ago in Tulsa and has successfully diversified into a variety of industries, businesses and geographies.                  .

The Institutional Wealth Senior Plan Compliance Associate will perform the duties and responsibilities for this position for clients and projects of medium complexity and technical difficulty. The senior associate will assist with the quality reviews of work performed by other group members and will assist with staff training. The senior associate will also develop working relationships with appropriate client personnel with a goal of becoming the primary contact for daily, routine issues. This position reports to the Manager, Plan Compliance Services and is primarily responsible for providing technical and analytical services to ensure pension and profit sharing information is in compliance with plan documents and government regulations.


  1. Coordinates information from clients to perform ADP/ACP test, sets up spreadsheets to do calculations for tests; calculate refunds to pass the tests; calculates allocable income and coordinates the refund checks; communicates test results to clients; reviews contributions and calculates forfeitures and true-ups for clients who have miscalculated contributions; processes refunds by IRS deadline to avoid excise tax to client.
  2. Performs quality control review of work performed by others, as needed. Provides constructive and timely feedback with regard to findings.
  3. Prepares and files high volume of annual 5500 report within IRS deadline; provides reconciliation of trust statement and other financial data; works closely with client to resolve 5500 questions and works closely with auditor to obtain audit for filing with 5500 report; files form 5558 for extension if necessary; responds to IRS 5500 inquiries; completes Summary Annual Report (SAR); prepares annual top heavy test, identifies key and non-key employees and calculates necessary top heavy contribution.
  4. Responds to relationship manager, analyst, client and participant inquiries regarding ERISA compliance issues; provides problem resolution for routine/complex client and participant retirement plan questions. Prepares and files proper documentation of resolution. Participates in client meetings as needed.
  5. Performs initial research on ERISA compliance issues prior to discussion with Plan Administration supervisor or manager. Properly documents issue(s) and resolution(s).
  6. Is proactive in identifying alternative solutions to all testing and compliance issues. Communicates alternatives to relationship manager and client on a timely basis.


  • Thorough knowledge of accounting principles in order to reconcile and balance accounts
  • In depth knowledge of ERISA and other employee benefit laws and regulations pertaining to 401(k) and pension plans
  • Good math skills (addition, subtraction, multiplication, division) to determine vesting percentages and program formulas for spreadsheets.
  • Excellent written and oral communication skills in order to effectively communicate with clients
  • Excellent analytical skills to read and interpret government laws, regulations, plan and trust instruments
  • Excellent ability to organize work priorities in order to meet changing demands and deadlines

This level of knowledge is normally acquired through completion of a Bachelor's Degree in Business Administration or Accounting and 3-4 years experience in Trust Retirement Plan administration or 9-10 years of related experience in pension and/or profit sharing plan administration.  Although we would be willing to consider applicants with less experience who possess outstanding foundational analytical skills.

The preferred location for the position is Houston, TX, however, we will consider candidates in Tulsa, OK or Scottsdale, AZ

How to Apply

Please contact Beth Coulter at

This ad has been viewed 1644 times. It expires on 5/28/2019.

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