Description:
The Annual Compliance Operations Specialist role at Guideline is an exciting opportunity to support our clients through the annual compliance cycle and to use your 401(k) compliance testing and Form 5500 experience to improve a highly automated annual compliance program. You will join a team of 7 other individuals and work cross-functionally with other team members across the organization.
You will spend about 80% of your time working on assigned cases and 20% of your time on other responsibilities that may include updating or writing procedures and client-facing materials, acting as an SME on planned product enhancements or other small projects. If you enjoy the seasonality of annual 401(k) compliance work and are passionate about process improvement, identifying and minimizing risk, and enjoy working both independently and with others, this role could be a great fit for you.
Responsibilities
- Resolve data discrepancies for assigned caseload of plans to unblock Form 5500 filing automation, including reconciling conversion plan assets when needed.
- Accountable to ensure all regulatory deadlines are met for assigned caseload while also embracing a one team approach and contributing to overall team success.
- Support customers and plan auditors for our largest plans via email and phone
- Consistently meet SLAs such as average ticket volume, CSAT, TRES and TFIR
- Investigate complex problems and find creative solutions involving Form 5500 series, 5330 and 8955-SSA
- Recommend solutions for continuous improvement for filings and annual plan compliance workflows, product and business systems.
- Continuously look for ways to scale efficiently.
- Partner effectively with cross-functional teams to solve problems.
- Work with Product & Engineering teams to identify opportunities for product enhancement.
- Seek guidance from the Legal & Compliance team to ensure solutions are compliant with 401(k) regulations.
- Collaborate with Customer Relationship Management team to address inbound questions and provide proactive communications to customers
Qualifications
- Bachelor degree
- 6-10 years of experience performing annual compliance testing (410(b) coverage, ADP/ACP, 415, Top Heavy) and preparation of Forms 5500, 5330 and 8955-SSA. Has working knowledge of the complexities of mergers and acquisitions as they relate to testing and Form 5500 preparation. Comfortable with client contact
- Demonstrated ability to solve problems creatively with an eye toward, and a passion for, process improvement. Able to spot opportunities for product or process automation
- Team player who collaborates well with people from different functions with different perspectives
- An exceptional verbal and oral communicator, comfortable collaborating on cross-functional projects
- Ability to quickly learn and adapt to new programs and tools
- Technological savviness. Prior experience with Salesforce, Jira and Confluence or similar technologies.