ASC Compliance Analyst

Role & responsibilities

Investigates and clarifies client data or census problems

• Prepares non-discrimination tests, top heavy tests, coverage tests, 415 annual addition

tests on larger and more technically complex plans, including additional compliance

testing that must be done such as 401(a)4

• Review of testing and/or Government Forms
• Completes testing and ensures quality control audit is performed
• Serves as technical expertise to compliance analysts and provides resolutions to support

business

• Allocates employer profit sharing, matching and/or money purchase pension

contributions based upon plan provisions and submits to plan sponsor for approval

• Calculates contribution corrections or top-heavy minimum contributions for plan

sponsors

• Communicates test results and recommends solutions to client when specific failures are

identified        

• Prepares Form 5500 and related schedules using government forms software
• Submits financial reports and Form 5500 package for review, correction, approval and

submission to client and governing agency

• Maintains current awareness and understanding of legislative changes, IRS rulings, and

expert opinions related to the processing of retirement plans

• Consistently meets and/or exceeds performance expectations with the ability to work

under pressure in a very fast paced environment

Preferred candidate profile

5+ years experience in compliance testing, contribution calculations and allocations

• Minimum of 2-3 years of experience using ASC Compliance software for

testing/allocations

Preferred (but not required) education or skills for this role

• ASPPA certification

Competencies

• Excellent Analytical skills

• Eye for detail

• Avid Learner

• Customer Oriented

• Detail Oriented

• Excellent Verbal and Written Communication Skills

• Information Seeker

• Planning and Organizing

• Problem Solver

• Team Player

• Time Management