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About the Role
The Compliance Specialist IV is responsible for preparing compliance and government filings, monitoring workloads, and ensuring timely and accurate deliverables. This role involves mentoring team members and developing new processes.
Responsibilities
- Prepare compliance tests and year-end packages, including eligibility requirements, participant determination, contribution calculations, and various non-discrimination tests.
- Maintain knowledge of all plan designs and allocation options (401(k), 403(b), Davis Bacon, MEPs, PEPs, balance forward valuations, defined benefit and cash balance combo plans).
- Prepare, review, and publish regulatory forms such as Form 5500, Form 5330, and Form 8955-SSA.
- Reconcile and prepare Form 5500 and schedules for large filer plans, assisting Plan Consultants with auditor questions.
- Research and resolve testing and Form 5500 issues, collaborating with other departments and mentoring team members.
- Develop processes and implement best practices with management to ensure service standards.
- Prepare asset reconciliation and research differences for plan valuation, testing, and reporting.
- Prepare outside asset and balance forward earnings allocations and participant validations.
- Prepare Plan Documents, including Restatements, Amendments, SPDs, SMMs, and Notices.
- Assist with QDRO allocations and corrective earnings calculations.
- Perform other duties as assigned.
Requirements
- Associate's degree and 7+ years related experience or an equivalent combination of education and experience.
- ASPPA Qualified 401(k) Administrator (QKA) designation required.
- Ability to read and interpret documents such as retirement adoption agreements, program manuals, and government instructions and guidance.
- Ability to write reports and emails/correspondence, and work effectively with employees across the company.
- Advanced math skills including the ability to apply concepts such as fractions, percentages, and ratios.
- Experience with Microsoft programs including Excel and Word.
- Ability to work independently and balance multiple tasks.
- Applicants must be authorized to work for any employer in the U.S. We are unable to sponsor or assume sponsorship of an employment Visa at this time.
Skills
- Microsoft Excel
- Microsoft Word
- Compliance testing
- Government filings
- Regulatory forms
- Plan documents
- Asset reconciliation
- QDRO allocations
- Mentoring
- Process development
Experience Level
- 7+ years related experience
Education Level
- Associate's degree
- ASPPA Qualified 401(k) Administrator (QKA) designation
Salary/Compensations
- $81,133.00 - $108,214.00
Benefits
- Generous Paid Time Off: At least 22 days annually.
- Parental Leave: Six weeks of paid leave at 100% of your salary.
- Comprehensive Medical Coverage.
- HSA contributions for High Deductible Health Plan participants.
- Dental and Vision Coverage.
- Flexible Spending Accounts for healthcare and dependent care expenses.
- Employer-Paid Disability Coverage (short-term and long-term).
- Option to purchase additional long-term disability coverage.
- Employer-Paid basic life insurance.
- Option to purchase supplemental life insurance.
- Voluntary Benefits: hospital, accident, and critical illness coverage.
- Retirement Plans: 401(k) plan with employer matching, optional Roth 401(k), and a pension plan.
- Adoption Assistance.
- Tuition Reimbursement.
- Employee Assistance Program (EAP).
- Pet Insurance.
- Financial and Banking Services.
- Paid Sick and Safe Leave.
About the Company
- At NBT we empower people to grow, innovate, and thrive through meaningful work, a supportive culture and opportunities to make a real impact in your community.
- NBT believes in creating a workplace where every voice matters and every team member feels empowered to contribute.
- NBT has built a reputation as a stable financial institution by growing our people and our business, evolving our processes and managing risk for over 165 years.