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Compliance Testing and Reporting Specialist Job Details

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Compliance Testing and Reporting Specialist (Ref: COM00028)
Sector, Sub Sector: Other
Compliance Type: Regulatory/Compliance
Expertise: -
Company: Prudential
Location: Dubuque , Iowa Americas, United States
Employment Type: Permanent
Job Description:

The Compliance Testing & Reporting Specialists is a position that requires the ability to work both independently and as part of a team.  The role is responsible for timely and accurately completing and consulting on the plans required compliance testing, annual IRS/DOL reporting requirements and assisting with plans audits.  This position will work closely with Retirement Service and operations organizations.

 

This position is responsible for the ongoing servicing of our clients' retirement plans as it relates to the following:


  • Preparing Form 5500 Annual Return/Report of Employee Benefit Plans

  • Performing ADP/ACP, 415 limitation, 402(g), top heavy and coverage testing for plans in the 401(k), 403(b) and 401(a) market segments

  • Ability to research and decipher Plan Document information

  • Function as a liaison between plan sponsors, financial advisors, Client Services, and plan auditors with respect to compliance testing and reporting matters

  • Frequent verbal and written communications with internal and external partners

  • May participate in client visits in both the pre and post sale stages

  • Monitor own "book of business" to ensure workload is appropriately prioritized, deadlines are met, and internal tracking tools are accurately maintained

  • Ensure that production volumes are being addressed and support workload balancing

  • Special projects and other duties as assigned




  • Prefer candidates with a high level of technical expertise understanding and interpreting IRS regulations



  • Incumbents work closely with account/relationship managers and directly assist clients with the more complex technical problems/issues



  • Strong working of knowledge of Microsoft Excel



  • Bachelor's degree or related business experiences



  • Minimum of 3 years direct client facing experience working in retirement service, financial service or similar industry



  • Proven excellent customer service skills and consultative skills



  • Strong written and verbal communication skills



  • Strong commitment to timing and quality standards



  • Ability to understand and apply complex compliance concepts



  • Knowledge and understanding of the pension industry



  • Proven ability to understand and apply new concepts



  • Ability to work on multiple tasks simultaneously



  • Ability to work independently and as a team player



  • Ability to take initiative, react to change in a positive/productive manner



  • Willingness to pursue professional designation/certification (ASPPA, QPA, CEBS)



Prudential is a multinational financial services leader with operations in the United States, Asia, Europe, and Latin America. Leveraging its heritage of life insurance and asset management expertise, Prudential is focused on helping individual and institutional customers grow and protect their wealth. The company's well-known Rock symbol is an icon of strength, stability, expertise and innovation that has stood the test of time. Prudential's businesses offer a variety of products and services, including life insurance, annuities, retirement-related services, mutual funds, asset management, and real estate services.

We recognize that our strength and success are directly linked to the quality and skills of our diverse associates. We are proud to be a place where talented people who want to make a difference can grow as professionals, leaders, and as individuals. Visit www.prudential.com to learn more about our values, our history and our brand.

Prudential and its affiliates, Newark, New Jersey are Equal Opportunity/Affirmative Action Employers and are committed to diversity in our workforce.

Note that this posting is intended for individual applicants. Search firms or agencies should email Staffing at staffingagencies@prudential.com for more information about doing business with Prudential.
Job Ref No: COM00028