Retirement Compliance Specialist

3 weeks ago

White Plains, New York, United States Pentegra Retirement Services Full time

Job Summary: As a key member of our team at Pentegra Retirement Services, you will be responsible for ensuring the compliance and accuracy of our clients' defined contribution retirement plans. This includes performing compliance testing, contribution calculations, and Form 5500 reporting, as well as managing client relationships and providing exceptional service.

Responsibilities:

  • Main point of client and advisor contact, providing a high level of service to clients and advisors.
  • Ensures all clients are receiving feedback and resolution to their inquiries on a daily basis.
  • Interprets plan documents, including IDP and Pentegra Prototype.
  • Thorough knowledge of ERISA, IRS, and DOL regulations regarding qualified plans.
  • Analyzes census to determine eligibility.
  • Calculates employer contributions based on the plan's provisions and confirms with client the amount of annual funding.
  • Prepares annual non-discrimination tests (ADP/ACP; 415; 402(g), 416, 410(b)) and discusses testing results with clients.
  • Prepares Government Forms: 5500 and Related Schedules, 5558, 5330, 8955, and works with plan's auditor and discusses Forms with the client.
  • Works with plan's Form 5500 auditor.
  • Posts year-end client deliverables to Pension Pro.
  • Reconciles trust assets.
  • Reviews and approves participant requested loans and distribution requests.
  • Identifies and completes RMD distributions.
  • Advises clients on new plan design options and completes plan studies when needed.
  • Works with assigned Administrator to ensure deadlines are met timely.
  • Responsible for entering amendment requests in Pension Pro; updating Relius specs, platform specs, obtaining signatures, and follow-ups with clients.
  • Requests record-keeper enrollment forms and updates plan specs during amendment process.
  • Attends client and advisor calls/meetings upon request with approval from assigned Manager.
  • Annual year-end clean-up, including follow-up on forfeiture re-allocations, source transfers determined during the compliance review.
  • Works with clients to terminate their plan.

Requirements:

  • 3-5 years of defined contribution retirement compliance and service experience.
  • Ability to maintain a caseload of defined contribution plans, including 401(k) and 403(b).
  • Experience with Multiple Employer Plans (MEPs) preferred.
  • Excellent client relationship skills.
  • Excellent communication and organizational skills.
  • Problem-solving ability.
  • Ability to work in a fast-paced team environment.
  • Working knowledge of Microsoft Office (Excel, Word, Outlook).
  • Working knowledge of Sungard Relius compliance software and FT Williams Government forms a plus.
  • ASPPA designations a plus or be willing to obtain designations.
  • Ability to ensure timely and accurate completion of all assigned client's compliance testing, valuation reporting, and tax filings.
  • 3(16) Fiduciary Services knowledge a plus.
  • If remote employee, must have previous experience working from home.

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