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Compliance Associate

Location:Brainerd North, MN
Level:Full Time
Category: Client Operations


Section 1: Position Summary

This position provides support to our clients through the preparation and quality control of reporting and client initiated requests to maintain compliance with IRS regulations.  Additionally, support Client Service teams through timely client inquiry resolution and phone support to assist with client resolution and satisfaction.


Section 2: Job Functions, Essential Duties and Responsibilities


  • Assist our clients by correcting their failing annual non-discrimination test through reviewing, calculating and processing the corrective distribution request as required by IRS regulations.
  • Assist our clients with their audit through the preparation of an annual report of financial activity and providing internal and external phone support for auditor inquiries.
  • Assist our clients with the processing and quality control of updates to information in their company's retirement plan.
  • To assist our clients with their annual IRS reporting requirement, prepare and quality control IRS Short Form 5500.
  • Quality control of client's testing prior to delivery.
  • Support Client Service teams through timely client inquiry resolution and phone support to assist with client resolution and satisfaction.
  • Participate in annual Post Mortem meetings that are held in collaboration with other teams throughout the organization to continuously improve the Client Experience.
  • Responsible for protecting, securing, and proper handling of all confidential data held by Ascensus to ensure against unauthorized access, improper transmission, and/or unapproved disclosure of information that could result in harm to Ascensus or our clients.
  • Our I-Client service philosophy and our Core Values of People Matter, Quality First and Integrity Always® should be visible in your actions on a day to day basis showing your support of our organizational culture.




  • N/A



Section 3:  Experience, Skills, Knowledge Requirements


  • Bachelor’s degree or equivalent work experience.
  • Ability to work well under pressure with multiple priorities and deadlines in a demanding environment.
  • Strong analytical and problem solving skills.
  • Ability to work additional hours as necessary to meet business needs.
  • Follows through on direction received.
  • Ability to work within a team structure to ensure common goal of providing exceptional customer service.


We are proud to be an Equal Opportunity Employer

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What makes any career at Ascensus so rewarding?

  • Collaborative, idea-sharing environment
  • Professional development
    • In-house training
    • Tuition reimbursement
  • Generous reward programs
  • Paid time off (additional purchase plan)
  • Medical, dental & vision benefits
  • Health savings account (employer contribution up to $1,100)
  • 401(k) & 529 match programs
  • Volunteer/charitable-giving programs
  • Business casual dress
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