Ascensus

Compliance

• Ensure compliance with policies, procedures, laws and regulations
• Manage compliance with BSA/AML/OFAC by performing risk assessments
• Review alerts for suspicious activity and prepare SAR drafts
• Conduct periodic reviews of high-risk accounts and customer due diligence

Compliance Analyst

Full-stack Engineer

• Design, build, and maintain scalable and robust applications
• Evaluate, implement, test, document and maintain new and current software applications in aid of achieving the business goals with minimal supervision.
• Create estimates and assist with planning throughout the software development life cycle.
• Facilitate or assist in technical initiatives working with multiple groups
• Establish and enforce development best practices
• Coach and mentor other developers, provide continuous feedback
• Expect and require innovation of her/his team
• Demonstrate passion and convictions and the innate ability to inspire passion in others
• Assist with other tasks and projects as assigned

Senior Software Engineer, IT Software Engineering

QA Engineer

• Performs ongoing and collaborative quality control measures for the overall nonqualified administration and operations teams
• Ensures timely and accurate processing of assigned transactional tasks
• Identifies, analyzes, and proposes resolution of process irregularities and inefficiencies
• Supports NQ admin and operations teams with quality control measures across transactional work and processes
• Responsible for protecting, securing, and properly handling all confidential data held by Newport/Ascensus

Quality Assurance Analyst

Operations

• Team Leadership: Develop, and implement the annual business plan; communicate to leadership and ensure understanding of the plan and alignment to the work and measurables
• Motivate, lead and support leadership team and associates to provide excellent associate direction.
• Ensure talent development and training to respond to clients in a professional and consultative manner.
• Partner with leaders to ensure the creation and management of team deliverables, ensuring that quality and production service level objectives are consistently met or exceeded.
• Provide balanced feedback to leadership regarding performance and areas of improvement, motivation of team and support of the associate experience and empowerment
• Conduct regular staff meeting with leadership and teams providing updates and receiving feedback.
• Provide guidance and support empowerment for leaders to mitigate and address escalated issues.
• Develop leadership competencies, expertise, ability, and experience for career pathing within Ascensus.
• Support team in escalating awareness broadly across appropriate teams’ issues requiring resolution; partner with internal departments to deliver timely resolution.
• Actively seek out ways to improve associate satisfaction and deliver results.
• Serving Clients: Act as senior leader for clients and advisors looking for executive presence in plan level issue situations, audits, and service meetings.
• Serve as senior decision maker on escalated items.
• Drive leadership in monitoring and achieving daily production commitments, SLA and metrics as well as workflows in order to meet operational service commitments.
• Develop professional relationships with internal teams and stakeholders to ensure alignment of approach and satisfaction.
• Strategic Activities: Collaborate with internal clients Employer & Sponsor Services, Participant Services, Relationship Management and Sales to building services and support processes.
• Align department priorities to execute on business plan objectives to maximize revenues, client retention and organic sales.
• Team with executive leadership and peers to create strategy and vision for the Client Operations organization.
• Develop project plans and teams to achieve strategy and vision.
• Develop and drive efficiency plays and enhancements leveraging all Ascensus capabilities to achieve with automation or process refinement.
• Process and Business Management: Own budget planning and align current and future planning activities against budget expectations.
• Ensure that the team’s decision-making processes are guided by data, real time metrics and capacity analysis.
• Educate and empower leadership team on best practice talent strategies for appropriate allocation of resources to meet business needs and operational service commitments/objectives.
• Document, Maintain and Revise operational workflows and Service Standards.
• Monitor and actively manages department expenses and revenue generating activities to meet budget.
• Identify areas of improvement within Ascensus platform including workflows, policies, technology, products etc.
• Develop improvement plans, gain support and execute.
• Work with peers in the senior management team to identify global issues and opportunities for improvement, make recommendations for changes and help implement.
• Responsible for protecting and securing all client data held by Ascensus to ensure against unauthorized access to and/or improper transmission of information that could result in harm to a client.
• Maintain and establish the environment enabling Operations teams to live by the Core Values of People Matter, Quality First and Integrity Always® should be visible in your actions on a day-to-day basis showing your support of our organizational culture.

Head of Disbursements Operations

Consultant

• Serve as a resource to plan sponsors and financial advisors for matters related to ERISA compliance, plan design and governmental reporting
• Handle client meetings both in person and via phone
• Act as a mentor to Retirement Plan Coordinators, collaborating to meet or exceed defined business objectives, firm goals and client obligations
• Assist clients with all initial and ongoing plan design and document needs
• Promote awareness and educating all clients regarding their obligations with the IRS and DoL regulations
• Maintain up-to-date knowledge of present legislation and proposed legislative changes with regard to ERISA law
• Accountable for all aspects of valuation reports, participant statements and annual testing
• Review distribution paperwork and coordinate processing of distributions with asset holder
• Assist IRS and DOL auditors, if the plan is subject to an IRS or DOL audit
• Coordinate with all applicable parties to ensure accurate conversion process for new clients

Retirement Plan Consultant – Defined Benefit Plans

Content Writer

• Lead the creation, coordination, and submission of high-quality RFP, RFI, and due diligence responses
• Collaborate with Product, Relationship Management, Business Development, and cross-functional stakeholders including Legal, Compliance, and Operations to gather accurate and relevant content
• Write clear, well-structured, and persuasive responses tailored to the needs of each prospect or client
• Ensure responses are complete, compliant with requirements, and professionally presented
• Manage complex proposal timelines, delegate tasks, track inputs, and ensure timely delivery of all response materials
• Maintain and continuously improve a centralized proposal content library (e.g., in RFPIO or Loopio)
• Apply editorial rigor and detail orientation to ensure grammatical accuracy, formatting consistency, and tone alignment across all content
• Lead the creation, refinement, and management of high-impact pitch decks, Finals presentations, and Due Diligence materials to support strategic business development and client engagement efforts.
• Contribute to the improvement of internal proposal processes and documentation practices

RFP Writer

Account Manager

• Serve as primary point of contact providing specialized trust and fiduciary services to high-profile institutional accounts
• Nurtures long standing relationships with clients by delivering high quality and responsive service that exceeds their expectations
• Leads efforts to onboard new accounts, gather relevant information and coordinate account opening process
• Reviews agreements and prepare internal documentation to assure proper administration
• Meets periodically with contacts, ensure timeliness of client deliverables, and field inquiries
• Directs Trust Administrators with the processing of stock and mutual fund trades, wire transfers, checks, plan sub accounting, and various reconciliation processes
• Works closely with Senior Management, Trust Administrators, Operations, Financial Analysts and Attorneys to perform services
• Presents annual account reviews at weekly committee meeting and actively participate in internal planning and coordination meetings
• Facilitates participant communications related to employer stock funds and distributions
• Promotes procedural prudence by complying with policies and procedures, retaining records and responding to audit inquiries
• Identifies cross-selling opportunities to support business development

Relationship Manager

Data Analyst

• Act as Subject Matter Expert for Document Services in project/product meetings and assist in documentation and training
• Participate in working through changes needed for the document processes
• Provide specific training
• Coordinate needed updates to procedural documentation
• Manage all elements of plan document events and tasks that include detailed needs assessment review, service definition, coordination with multiple parties
• Collaborate with leadership and team members to continuously improve and automate document processes
• Provide input to leadership on client issues and weekly/monthly reports as defined
• Proactively escalates potential risks to appropriate leadership staff that impact either service satisfaction and/or financial liability
• Act as mentor and coach to other Document Services staff and provides one-on-one and group training to staff as requested
• Facilitate process improvement initiatives specific to document services including analysis, testing support and quality controls and procedural documentation.
• Responsible for protecting, securing, and proper handling of all confidential data held by Ascensus to ensure against unauthorized access, improper transmission, and/or unapproved disclosure of information that could result in harm to Ascensus or our clients.
• Assist with other tasks and projects as assigned
• Responsible for the design and supervision of automated document processes
• Manage 3-5 document projects with established timelines and/or budgets

Director, Data Analytics – Metrics

Customer Support

• Responsible for protecting, securing, and proper handling of all confidential data held by Ascensus to ensure against unauthorized access, improper transmission, and/or unapproved disclosure of information that could result in harm to Ascensus or our clients.
• Assist clients with census updates to produce compliance tests and employer calculations.
• Participate in proactive call and email campaigns to inform clients on various deliverables regarding their 401k plan.
• Assist Client Services with the creation of necessary reporting for the FDI reports.
• Apply a quality control/review process to all reports produced before they are delivered to the end user.
• Reply to client requests for information via email, outbound call, or internal workflow.
• Maintain detailed workflow documentation for all functions and tracking for all reports provided.
• Provide timely, exceptional service, including problem solving and issue resolution with minimal inconvenience to clients.
• Provide effective verbal and written communications in a clear, concise, and informative manner.
• Make outbound calls to clients for various call campaigns and follow up on verification of client’s data.
• Provide backup assistance for functions previously owned by Shared Services.
• Maintain a professional and positive approach in all internal and external communications.

Retirement Support Specialist

Client Services Representative

• Provides support to clients through a number of channels including phone, letters and emails to quickly resolve the request
• Acts in a pro-active manner with assigned clients and advisors to ensure retention as well as inspire client dedication and engagement to develop positive relationships
• Responsible for interpreting plan documents for client plan administration
• Provides calculations and amounts to plan sponsors, communicates fund actions, consults with clients to answer inquiries, researches and resolves issues, provides legal updates, and responds to requests for specialized reports

Client Service Manager

Administration

• Timely and accurate processing of assigned contributions.
• Completely understanding the individual client contribution requirements and turnaround time.
• Demonstrate a detailed knowledge of retirement plans as well as the FuturePlan business, products, systems and processes.
• Reconcile the file received to what is loaded to the recordkeeper ensuring everything is balanced.
• Support incoming clients & internal associates’ emails and calls regarding contribution questions with a quick and accurate response.
• Provide thorough, high-quality research, problem solving and issue resolution.
• Perform other activities related to the contribution process including audit or error reviews.
• Collaborate with internal and external departments in aligning and implementing a sophisticated contribution experience.
• Maintain knowledge of the system, documenting and updating procedures.
• Communicate significant issues and exceptions to an appropriate higher level of authority within the organization in a timely manner.
• Other duties assigned by management.
• Responsible for protecting, securing, and proper handling of all confidential data held by Ascensus to ensure against unauthorized access, improper transmission, and/or unapproved disclosure of information that could result in harm to Ascensus or our clients.

Retirement Contribution Administrator

General Counsel

• Provide advice and counsel to business leaders on legal, regulatory, legislative, compliance, and business issues
• Draft, negotiate, review, and interpret various contracts and other legal documents
• Handle day-to-day legal issues including disputes and litigation, employment, intellectual property, and corporate governance
• Support Ascensus’s culture by demonstrating core values

Senior Corporate Counsel, LRC

Sales

• Facilitate the growth of retirement plan sales through Financial Professionals, TPAs, RIAs, and DC I/O Firms
• Promote both our product options and our alliance partners’ products
• Advise and assist Financial Professionals during the prospecting stage
• Attend sales calls as requested
• Maintain productive relationships with Financial Professionals
• Coordinate wholesaling efforts with internal sales to maximize coverage
• Conduct a minimum of sixty (60) meetings per month
• Document meetings in CRM
• Discuss Fiduciary Solutions and operating expenses of investment products

Regional Vice President, Retirement Sales – KY, TN, NC, SC Territory

Account Executive

• Develop a thorough understanding of our business, products and services.
• Consistently deliver a high level of proactive client service in a professional manner.
• Develop effective working relationships with team and internal departments to deliver effective service for our clients.
• Provide thorough, high quality research, problem solving and issue resolution.
• Weigh client perspective and business needs when addressing issues and identifying potential solutions.
• Successfully identify, record, monitor, and close items for assigned clients.
• Ensure inquiries and issues are resolved and service levels are met.
• Provide clients and advisors clear and concise communication regarding services, execution and resolution throughout the service cycle.
• Help drive increases in client retention by reacting appropriately to client communications and activities.
• Achieve individual and team goals for service levels, growth and retention for assigned book of business.
• Prioritize activities and manage time to effectively and efficiently provide quality client service to our partners and clients.
• Respond to inquiries on the status of plan activity (compliance testing, quarterly statements, RMDs, etc.).
• Produce, analyze, and distribute reporting on a regular basis to achieve individual and team goals.
• Support the sales team in their efforts to attain more business. Provide references as requested.
• Perform other duties and participate in special projects as assigned.

• Develop, and implement the annual business plan; communicate to leadership and ensure understanding of the plan and alignment to the work and measurables
• Motivate, lead and support leadership team and associates to provide excellent associate direction.
• Ensure talent development and training to respond to clients in a professional and consultative manner.
• Partner with leaders to ensure the creation and management of team deliverables, ensuring that quality and production service level objectives are consistently met or exceeded.
• Provide balanced feedback to leadership regarding performance and areas of improvement, motivation of team and support of the associate experience and empowerment
• Conduct regular staff meeting with leadership and teams providing updates and receiving feedback.
• Provide guidance and support empowerment for leaders to mitigate and address escalated issues.
• Develop leadership competencies, expertise, ability, and experience for career pathing within Ascensus.
• Support team in escalating awareness broadly across appropriate teams’ issues requiring resolution; partner with internal departments to deliver timely resolution.
• Actively seek out ways to improve associate satisfaction and deliver results.
• Act as senior leader for clients and advisors looking for executive presence in plan level issue situations, audits, and service meetings.
• Serve as senior decision maker on escalated items.
• Drive leadership in monitoring and achieving daily production commitments, SLA and metrics as well as workflows in order to meet operational service commitments.
• Develop professional relationships with internal teams and stakeholders to ensure alignment of approach and satisfaction.
• Collaborate with internal clients Employer & Sponsor Services, Participant Services, Relationship Management and Sales to building services and support processes.
• Align department priorities to execute on business plan objectives to maximize revenues, client retention and organic sales.
• Team with executive leadership and peers to create strategy and vision for the Client Operations organization.
• Develop project plans and teams to achieve strategy and vision.
• Develop and drive efficiency plays and enhancements leveraging all Ascensus capabilities to achieve with automation or process refinement.
• Own budget planning and align current and future planning activities against budget expectations.
• Ensure that the team’s decision-making processes are guided by data, real time metrics and capacity analysis.
• Educate and empower leadership team on best practice talent strategies for appropriate allocation of resources to meet business needs and operational service commitments/objectives.
• Document, Maintain and Revise operational workflows and Service Standards
• Monitor and actively manage department expenses and revenue generating activities to meet budget.
• Identify areas of improvement within Ascensus platform including workflows, policies, technology, products etc.
• Develop improvement plans, gain support and execute.
• Work with peers in the senior management team to identify global issues and opportunities for improvement, make recommendations for changes and help implement.
• Responsible for protecting and securing all client data held by Ascensus to ensure against unauthorized access to and/or improper transmission of information that could result in harm to a client.
• Maintain and establish the environment enabling Operations teams to live by the Core Values of People Matter, Quality First and Integrity Always® should be visible in your actions on a day-to-day basis showing your support of our organizational culture.