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Compliance Officer

4 months ago

Minnetonka, United States Alerus Full time
Position Summary:
This position is responsible for providing support, advice and guidance to Business Advisors Retirement Specialists, Account Administrators and Alerus retirement clients on compliance matters related to Alerus' retirement and benefits business. This position must be familiar with all relevant rules, most notably those relating to 401(k), 403(b) and 457(b) plans under the Employee Retirement Income Security Act of 1974 (ERISA) and the Internal Revenue Code of 1986 (Tax Code), and is responsible for monitoring and tracking laws and regulations that impact the various areas of operations and product offerings.

Candidates must possess at least 7 years of ERISA Compliance background to be considered.

Essential Responsibilities:
Job Function 1: Retirement and Benefits Compliance - 80%

  • Support Alerus' Business Advisors, Retirement Specialists, Account Administrators and retirement clients with regard to retirement plan design consultations and regulatory and compliance questions in connection with the establishment and maintenance of 401(k), 403(b), 457(b) and cash balance plans, with a primary focus on 401(k) plans.
  • Support Alerus' Business Advisors Retirement Specialists, Account Administrators and retirement clients with regard to retirement plan compliance questions related to 401(k), 403(b), 457(b) and cash balance plans (with a primary focus on 401(k) plans), including questions related to plan compliance testing. Understand IRS and Department of Labor correction programs and assist with providing options for clients that need to correct failed and untimely tests and other errors.
  • Provide expertise to Alerus Account Administrators on following procedures for and interpreting and administering qualified domestic relations orders (QDROs), including those with complex language or allocations.
  • Provide expertise to Business Advisors Retirement Specialists and Account Administrators on plans being audited by governmental agencies, provide best practices for a successful audit.
  • Monitor new and changing retirement plan regulations.
  • Provide consulting expertise to business areas, including Alerus senior leadership, regarding questions, interpretations, and implementation of new regulatory requirements.
  • Work with clients to ensure that new or changed regulations are implemented in a manner so as to minimize compliance risk through changes to policy, procedures or systems.
  • Review existing programs for improvements and updates needed due to revisions in laws and regulations or other best practices.
  • Assist with negotiation of vendor agreements.
Job Function 2: Maintain Knowledge of Products and Services; Project Support - 10%
  • Prepare and present monthly webinars on common retirement plan compliance issues to ensure a consistent organizational approach to administration.
  • Monitor retirement plan regulatory developments, guidance and enforcement initiatives and communicate relevant information to Alerus team.
  • Maintain current knowledge of company procedures, policies and regulations.
Job Function 3: Retirement and Benefit Plan Legal Matters - 10%
  • Work with the Alerus retirement and benefits team and legal team to coordinate responses to garnishments, wage withholding orders, levies, tax liens, QDROs, subpoenas and related requests.
  • Provide support for legal team on retirement plan compliance questions.
Position Requirements:
Qualifications:
  • Bachelor's degree from a college or university; and 7+ years of related in a compliance or legal setting involving retirement plan matters and related ERISA/Tax Code matters; or the equivalent combination of education and experience.
  • Strong understanding of ERISA and the Tax Code as they relate to retirement plans.
  • Ability to readily analyze and interpret government regulations.
  • Ability to perform research independently and work under minimal supervision.
  • Excellent written and verbal skills, including presentation skills.
  • Industry designations such as QKA, QPA or TGCP strongly desired.
  • Working knowledge of employee stock ownership plan and related matters is a plus, although not required.
Personal Characteristics:
  • Self-starter, quick learner and easily adaptable to change.
  • Strong attention to detail and accuracy.
  • Strong organizational skills.
  • Ability to problem solve and analyze; make decisions.
Physical Demands - Must be met with or without a reasonable accommodation:
  • Extended periods of time sitting at a desk and using office equipment.
  • Ability to operate a personal computer/laptop for approximately 8 hours per day.
  • Extended time is spent reviewing physical and electronic documents.
  • The employee is occasionally required to stand, walk, reach with arms and hands, climb or balance, and to stoop, kneel, crouch or crawl. Vision abilities required by this job include close vision.
  • Periodically, may also do light lifting of supplies and materials which weighs in at approximately 20 lbs.
  • Will spend most of time in an indoor environment.


Alerus Financial is an Equal Opportunity Employer of women, minorities, protected veterans and individuals with disabilities.

Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities

The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor's legal duty to furnish information. 41 CFR 60-1.35(c)