Senior Compliance Analyst

Job Description

The Senior Compliance Analyst (SCA) will work with the team to handle day-to-day IRS and DOL compliance matters as they relate to the retirement industry and perform annual calculations for retirement plans. Additionally, the SCA will assist with seasonal high volume projects such as 5500 preparations and filings and non-discrimination testing. The SCA will work with the department head to review new DOL and IRS regulations and the impact to the business. The SCA will assist the department head in writing RKS and Admin system design documents required to support the organization’s compliance functions. The SCA interacts with clients and internal service team members via email and occasionally by phone on a day-to-day basis to answer any questions that may require retirement plan compliance expertise.

• Ensure timely execution of time-sensitive Compliance team functions
• Serves compliance team members as the subject matter expert of retirement related matters. Performs research within IRS, DOL, TAG, ERISA Answer Book, and other resource material to determine accurate solutions to complex problems.
• Take ownership of Plan Sponsor compliance issues and follow problems through to resolution
• Recognize and share organizational and department process improvements with the department head and devise improvement plans
• Keep accurate records and document customer service actions and discussions
• Plan provision amendments
• Plan document restatements
• Retirement Plan benefit calculations
• Annual non-discrimination testing including but not limited to ADP/ACP, Top Heavy determinations, and 410(b) coverage testing
• Operate within pre-existing KPI and SLAs set forth by the Compliance Operations Manager
• Maintain an orderly workflow according to priorities
• Maintain, follow, and enforce all Ubiquity security policies and procedures at all times. (Policies will be shared with all employees annually. Employees can request a copy of most recent policies from Ubiquity’s Security Officer at any time.)

Qualifications

• Minimum 10 years experience in retirement industry, preferably in a Compliance role
• Four year BS/BA Degree
• Extensive experience in non-discrimination testing, Annual form 5500 preparation and filing, and annual Profit Sharing and Safe harbor benefit calculations.
• Working knowledge of compliance testing software, 5500 software and tools
• Comfortable multi-tasking and with advanced trouble shooting situations
• Strong attention to detail and high degree of accuracy
• Ability to diagnose problems and produce solutions
• Ability to flex between working autonomously and as part of a team
• Excellent follow through and communication through email, phone, and in person

Additional Information

This is a salaried, full-time position. Please follow application instructions carefully and make sure to submit a cover letter along with your resume.

We are focused on building a diverse and inclusive workforce. If you are excited about this role, but do not meet 100% of the qualifications listed above, we encourage you to apply.

• Competitive compensation package
• Generous stipend toward premiums for medical, dental, and vision
• Learning and development stipends
• Monthly wellness subsidies
• Equity incentives
• Flexible PTO policy
• Time off for volunteering
• Emphasis on internal promotions
• Regular performance reviews
• Telecommuting

Ubiquity Retirement + Savings is an equal employment opportunity employer for all applicants and employees. We do not discriminate on the basis of race, color, religion, sex (including pregnancy, childbirth, or related medical conditions), gender identity, national origin, ancestry, citizenship, age, physical or mental disability, legally protected medical condition, family care status, veteran status, marital status, domestic partner status, sexual orientation, or any other basis protected by applicable local, state, or federal laws.