Compliance Manager

FiduciaryxChange, recently integrated as part of Ascensus, is dedicated to reducing the risk and administrative burden of adhering to ERISA guidelines. Our suite of flexible and comprehensive fiduciary services helps 401(k) plan sponsors, advisors and administrators effectively meet their obligations. Led by experienced professionals, we uphold a Prudent Expert Standard of Care and offer specialized services such as Pooled Employer Plans, 402(a) Named Plan Fiduciary Services and 3(16) Plan Administrator support.

This role is part of our committee who meets weekly to discuss various clients who have engaged FiduciaryxChange to serve as the Named Plan Administrator and Named Fiduciary. The goal and objective of the committee is to oversee the operation of each plan to make sure, on an ongoing basis, the plan is operating according to the plan document, Internal Revenue Code, and ERISA.

Responsibilities & Duties
• Responds to plan sponsor and participant questions
• Assists in servicing accounts and overseeing participant requests
• Assist in monitoring support and team emails
• Prepare, maintain, and submit recordkeeper access forms for assigned plans

• Payroll uploads for Assigned Plans

• Monthly Monitoring for Assigned Plans

• Force out monitoring and processing and confirmation
  • Annual Validation Forms
  • YE Compliance Testing Review and any necessary correction confirmations
  • Provides information for annual 5500 audit
  • Signs 5500 and assists with SPY RFS to sponsors
  • Prepares Annual Plan Assessments

• Prepares year end oversight documents

• Completes 404(a)(5) and 408(b)(2) assessments
  • Provides information for annual 5500 audit

• Plan Notice Management

• Completes annual and interim notices and disclosures via Plan Notice-Assigned Plans

Skills/Abilities

• Bachelor's Degree from an accredited university preferred

• 2+ years of Qualified Plan Experience

• Preferred certification(s) OKA, CPFA, CkP, AIF
  • Strong interpersonal skills
  • Excellent oral and written communication skills
  • Ability to organize, prioritize, and manage multiple tasks within established timeframe
  • Excellent analytical and critical thinking skills
• Exceptional skills in Microsoft Office Suite, Excel, preferred. Being familiar with Microsoft Word and Adobe Acrobat a plus

The national average salary is $55,000 - $75,000, exclusive of any bonuses and benefits. This salary range represents the low and high end for this position. Actual salary offered will vary and may be above or below the range based on various factors including but not limited to location, experience, performance, and internal pay alignment. We do not anticipate that candidates hired will begin at the top of the range however, from time to time, it may occur on a case-by-case basis.  Other rewards and benefits may include: 401(k) match, Medical, Dental, Vision, Paid-Time-Off, etc.  For more information, please visit .

Be aware of employment fraud. All email communications from Ascensus or its hiring managers originate from @ascensus.com or @futureplan.comemail addresses. We will never ask you for payment or require you to purchase any equipment. If you are suspicious or unsure about validity of a job posting, we strongly encourage you to apply directly through our website.

Originally posted on Himalayas