Process Specialist - Compliance Testing
Core
Process transactions and perform compliance testing for retirement filings in accordance with IRS/DOL rules.
Role type
Process Specialist - Compliance Testing
Builds
Accurate transaction processing and regulatory compliance reports for retirement plans
Domain
Financial Services / Retirement Planning
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Transaction processing, Compliance testing (IRS/DOL), Retirement product knowledge, 5500 filing experience, Detail-oriented research, MS Excel, Back office operations
Preferred skills
Insurance experience, Retirement plan administration, Financial institution experience, Client query management
Technologies
MS Office (Excel)
Responsibilities
Analyze transaction details to determine appropriate processing actions, Perform compliance testing against IRS/DOL regulations, Consult technical documentation and mentors to resolve issues, Document work on contracts following internal procedures, Manage client questions regarding compliance testing, Suggest improvements to existing processes
Seniority
Mid-level, hands-on IC