ERISA Consultant

Section 1: Position 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. Primary focus in one area of Technical Expertise and cross training into secondary area of Technical Expertise.

Section 2: Job Functions, Essential Duties and Responsibilities

Consulting - Provide consulting services to internal and external clients, client’s attorneys and CPAs, other service providers on advanced technical, plan design and corrections issues. Conduct Peer Call Reviews providing feedback to colleagues on their call accuracy and quality.

Training - Conduct presentations at the ERISA technical consulting meeting or other internal ERISA department training. Conduct internal and external advanced technical training. Conduct external seminars and webinars.

Course Development - Design, write, and update advanced internal or external training modules.

Legal Retirement Plan Document Drafting - Demonstrate advanced knowledge of Ascensus documents.

Forms - Demonstrate an advanced knowledge of Ascensus plan forms and notices. Draft or update forms and notices for use by financial organizations, sponsors, and practitioners.

Employer Level Document Drafting - Audit employer level plan document preparation. Propose customized text for employer level plan document preparation.

Document Reviews - Review, audit and map specialty and complex documents.

Compliance Audits - Independently conduct compliance audits.

Business Unit Policies and Procedures - Demonstrate advanced knowledge of policies and procedures.

Fee-for-Service Engagements - 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 departmental and interdepartmental projects. Independently manage small to medium size projects.

Disputes, Policies, Inquiries and Subpoenas – Assist with research and respond to legal or other disputes. 

Research - Complete advanced technical research projects, present research findings and apply finding to establish company products and policies.

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 legislative, statutory, regulatory, or case law guidance has to the industry and/or on Ascensus products, services, and/or systems.

Technical Knowledge - Demonstrate an advanced knowledge of main plans and products and a functional knowledge or more unique plans and products in areas of Technical Expertise.

Industry Knowledge - Demonstrate basic knowledge of the industry including the applicable regulatory agencies (e.g., DOL, IRS, HHS). Demonstrate basic knowledge of investments (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 (Level 2) in same area of Technical Expertise.

Travel - This position may include 25%-40% travel.

SLAs - Meet department service level standards.

Miscellaneous - Perform other duties and projects as assigned.

Cross-Train – this position must be cross trained into Senior ERISA Analyst in secondary area of Technical Expertise.

Section 3:  Experience, Skills, Knowledge Requirements

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. Special consideration given to CPA, MBA, JD or PMP.

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, Power Point, Teams. Demonstrate basic proficiency in Access.

Skills - Demonstrate excellent client service, excellent interpersonal skills, professional demeanor and positive attitude skills. 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 skills, excellent written and oral communication skills and excellent seminar training and presentation skills.

Prior Consultant Level Completion - Successfully demonstrate job responsibilities of Senior ERISA Analyst.

We are proud to be an Equal Opportunity Employer

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