Senior Compliance Specialist
位置：远程报告到：合规管理员 FLSA 状态：免职简介：高级合规专家负责通过进行质量控制审查，识别培训和流程改进机会，支持账户经理处理复杂的合规问题并帮助确保及时准确的客户服务来维持和提高合规交付品中质量标准。责任：·执行计划评估，贡献计算以及定义贡献计划的合规测试等质量控制检查。· 维护和分析质量控制结果，以确定趋势，培训需求，过程缺口以及改善质量控制方法，能力和回复时间的机会。· 在规划合规问题和问题的解决方面向账户管理人员提供技术遵守指导和支持。· 适当时将法律团队的问题扩大并与内部利益相关者合作，以支持及时解决。· 为团队中的专业发展，一致标准和持续改进提供符合性培训。· 如有必要，在符合性有关的问题上为客户提供支持，加强及时，准确和专业服务。· 建议提高效率，准确性，质量和客户服务的流程改进。· 履行管理层所赋予的其他职责和责任。要求资格：· 最少8年的养老计划合规经验。· 对监管要求，计划文件规定，IRS 和 DOL 截止日期以及定义贡献计划合规实践的强大知识。· 在客户，监管和内部截止日内优先考虑工作流程并完成责任的能力。· 具有强大的时间管理，分析，解决问题和组织技能。· 有效的沟通技能，具有与内部人员，账户管理者，法律和其他利益相关者的专业互动的能力。· 在截止日期内有效工作能力，不断变化的工作流量和快速发展的工作环境。· 致力于团队合作，职业发展，质量标准以及持续改善。· 熟练使用微软办公室，拥有强大的 Excel 技巧。优先资格：· 关于 Relius 和 FT Williams 的实操了解。· ASPPA 认定。· 数学，会计，金融或相关学科的大学学位。最初发布在喜马拉雅山。
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Location: Remote
Reports to: Compliance Manager
FLSA Status:Exempt
Job Summary:The Senior Compliance Specialist is responsible for maintaining and elevating quality standards across compliance deliverables by performing quality control reviews, identifying training and process improvement opportunities, supporting Account Managers on complex compliance matters, and helping ensure timely, accurate client service.
Responsibilities:
- Perform quality control reviews of plan valuations, contribution calculations, and compliance testing for defined contribution plans.
- Maintain and analyze quality control results to identify trends, training needs, process gaps, and opportunities to improve quality control methodology, capacity, and turnaround times.
- Provide technical compliance guidance and support to Account Managers on plan compliance questions and issue resolution.
- Escalate matters to the Legal team when appropriate and partner with internal stakeholders to support timely resolution.
- Deliver compliance training to support professional development, consistent standards, and ongoing improvement across the team.
- Support clients on compliance-related matters as needed, reinforcing timely, accurate, and professional service.
- Recommend process improvements that enhance efficiency, accuracy, quality, and client service.
- Perform other duties and responsibilities as assigned by management.
Required Qualifications:
- Minimum of 8 years of retirement plan compliance experience.
- Strong knowledge of regulatory requirements, plan document provisions, IRS and DOL deadlines, and defined contribution plan compliance practices.
- Ability to prioritize workflow and complete responsibilities within client, regulatory, and internal deadlines.
- Strong time management, analytical, problem-solving, and organizational skills.
- Effective communication skills with the ability to interact professionally with internal staff, Account Managers, Legal, and other stakeholders.
- Ability to work effectively under deadlines, changing workflow volumes, and a fast-paced work environment.
- Commitment to teamwork, professional development, quality standards, and continuous improvement.
- Proficiency in Microsoft Office, with strong Excel skills.
Preferred Qualifications:
- Working knowledge of Relius and FT Williams.
- ASPPA designation.
- College degree in math, accounting, finance, or a related discipline.
Originally posted on Himalayas