Responsibilities Duties and Responsibilities 1. Performs standard compliance testing and analysis functions for defined contribution plans such as ADP/ACP testing, Coverage Testing, Annual Additions Testing, and 402(g) Testing, . 2. Researches and resolves compliance technical regulatory issues with assistance as necessary. 3. Delivers required compliance testing services within established time-frames in accordance with client and regulatory deadlines. 4. Ensures proper review, sign-off and quality controls of all compliance testing and analysis functions for assigned clients through self review and self audit. 5. Provides, documents, and maintains the appropriate written and oral communications to clients and internal personnel that is required to resolve issues encountered and perform the functions of the role. 6. Pro-actively focuses on developing technology and regulatory skills and knowledge related to the performance of compliance testing and analysis functions. 7. Assists in conference calls, client meetings, and internal meetings as necessary. 8. Participates in special projects, Vanguard corporate activities, and performs other duties as assigned. Technical and Professional Requirements: l Undergraduate degree or equivalent combination of training and experience. l Minimum two years of relevant work experience within the financial services industry. l ASPPA QKA credential is preferred l Ability to communicate clearly both written and verbally. l Excellent data analysis and technology skills including ability to work extensively in Excel. Ability to learn and develop the technical compliance knowledge that is necessary to provide compliance testing services. l Ability to assess problem situations and apply technical knowledge to propose and deliver accurate solutions for general compliance issues. l l Ability to organize, prioritize and process multiple issues simultaneously. Knowledge of record keeping systems and compliance/nondiscrimination testing tools (preferred but not required). Preferred Skills: Insurance- US Retirement with 401(K)-Vangaurd
