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ERISA Consultant (Retirement industry, 401K)

Location:Tucson, AZ
Level:Full Time
Category: Client Operations

Description

Job Description Summary

Primary responsibilities include providing consulting services to Ascensus clients through Ascensus’ technical access service, providing in-house consulting, conducting seminars, technical research, analysis and special projects as assigned.


Job Description

  • Answer 1-800 QRP queues
  • Answer Helpdesk queues
  • Answer Advanced Helpdesk queues
  • Conduct Peer Call Reviews

Training

  • Conduct presentations at the ERISA technical consulting meeting or other internal ERISA department training
  • Conduct internal advanced ERISA technical training (e.g., Advanced ERISA Focus Classes, live ERISA Edge)
  • Conduct QRP seminars and webinars
  • Conduct Fall Forum training

Course Development

  • Design, write, and update advanced internal or external training modules

Legal Retirement Plan Document Drafting

  • Demonstrate advanced knowledge of Ascensus retirement plan documents

Forms

  • Demonstrate an advanced knowledge of Ascensus retirement plan forms and notices
  • Draft or update qualified retirement plan forms or notices for use by financial organizations, sponsors and practitioners

Employer Level QRP Document Drafting

  • Audit employer level qualified retirement plan document preparation
  • Propose customized text for employer level qualified retirement plan document preparation

Employer Plan Document Reviews

  • Audit and map prototype document for application in Plan Services Group/Document Compliance Services
  • Review, audit and map volume submitter plan documents for application in Plan Services Group/Document Compliance Services
  • Audit and map specialty plan document and complex individually designed plans for application in Plan Services Group/Document Compliance Services

Compliance Audits

  • Independently conduct QRP compliance audits

Business Unit Policies and Procedures

  • Demonstrate advanced knowledge of RPS or PSG policy and procedures

Fee-for-Service Engagements (Corrections, Controlled Group Determinations, Determination Letter Filings)

  • Independently perform fee-for-service engagements
  • Independently perform advanced external fee-for-service consultations

Special Projects (IT, project management)

  • Work independently to act as subject matter expert for department/interdepartment projects
  • Independently manage small to medium size projects

Disputes, Policies, Inquiries and Subpoenas

  • Assist with research and response to legal or other disputes

Research

  • Complete advanced QRP research projects and present advanced QRP research findings

Technical Writing

  • Write articles for publication in industry journals and publications

Legislation, Regulatory and Judicial Review

  • Analyze and interpret significant legislative, statutory, regulatory, or case law guidance
  • Determine the impact significant legislation, regulatory or case law guidance has to the retirement plan community and/or Ascensus products, services, and/or systems

Retirement Technical Knowledge (QRP and specialty plans (e.g., 403(b0, 457, DB, Cash Balance, ESOP, non-qualified, 409A))

  • Demonstrate an advanced knowledge of QRP and 403(b)
  • Demonstrate a functional knowledge of 457 plans

Industry Knowledge

  • Demonstrate basic knowledge of the retirement industry including the applicable regulatory agencies (e.g., DOL and IRS)
  • Demonstrate basic knowledge of investment options in retirement plans (e.g., mutual funds, annuities and ETFs) and the associated regulatory agencies (e.g., SEC, FINRA, NAFCU, FDIC, OCC, OTS)

Ancillary Laws

  • Demonstrate a basic knowledge of certain ancillary laws (e.g., securities, estate planning, banking, social security, Medicare, bankruptcy, e-sign)

Continuing Education

  • Enhance technical and industry knowledge by attending continuing education classes

Mentoring

  • Successfully mentor Consultant – QRP Emphasis (Level 2) associates

Travel

  • This position may include 25%-40% travel

SLAs

  • Meet department service level standards
  • Perform other duties and projects as assigned

Cross-Trained

  • Cross-train into Consultant – IRA Emphasis (Level 2)

Minimum Requirements:

External ASPPA Designations

  • CRSP

External Financial Services Industry Designations

  • CFP, CTFA, CFA, CEBS preferred
  • Insurance or securities licenses preferred but will not be maintained

Degrees

  • Bachelor’s degree in business, finance, accounting or a related field
  • CPA, MBA, JD or PMP preferred

Industry Experience

  • 5 years of Ascensus experience or 7 years industry experience

Performance Review Ratings

  • Performance review ratings of exceeding expectations

Core Values & I-Client

  • Consistently display and model the Ascensus core values and I-Client philosophy

Software Applications

  • Demonstrate intermediate proficiency in Outlook and MS Office software applications, specifically Word, Excel, and Power Point
  • Demonstrate basic proficiency in Access

Skills

  • Demonstrate excellent client service skills
  • Demonstrate excellent interpersonal skills, professional demeanor and positive attitude
  • Demonstrate strong organizational and time management skills
  • Accomplish detail oriented tasks within given timeframes and standards
  • Ability to prioritize and complete multiple tasks
  • Demonstrate excellent analytical and problem solving skills
  • Demonstrate sound business judgment and risk taking
  • Demonstrate excellent written and oral communication skills
  • Demonstrate excellent seminar training and presentation skills

Prior Consultant Level Completion

  • Successfully demonstrate job responsibilities of Consultant – QRP Emphasis (Level 2)



Ascensus is a place to have a career, not just a job. As the largest US independent retirement and college savings services provider, we put our focus on people.  Our culture is guided by sound principles, is committed to high standards, operates with transparency, and welcomes diversity. When you join our team, you get to go to work every day knowing that you help over 6 million Americans save for retirement and college.

 

Ascensus is an Equal Opportunity Employer and does not discriminate on the basis of race, color, creed, national origin, ancestry, religion, age, citizenship, sex, marital or veteran status, disability or handicap, sexual orientation or any other basis prohibited by applicable law. Ascensus also takes affirmative action to employ, and advance in employment, qualified women, minorities, and covered veterans. Ascensus also makes reasonable accommodations for qualified individuals with disabilities, in accordance with the Americans with Disabilities Act and applicable state laws

 

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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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