Sr Compliance Consultant Location: United States Full time Job Description: Remote, Pennsylvania Add to favorites View favorites Ascensus is the leading independent technology and service platform powering savings plans across America, providing products and expertise that help nearly 16 million people save for a better today and tomorrow. Section 1: Position Summary This position is responsible for providing superior plan compliance and consulting services to our clients and the internal teams who serve them by embracing a proactive approach to client consultation. Build and strengthen these relationships by utilizing industry understanding and regulatory expertise to provide value-added services to our retirement plan clients. This position is also responsible for providing leadership by example and serving as a technical resource to ensure client expectations are met and/or exceeded. Section 2: Job Functions, Essential Duties and Responsibilities - Provides daily oversight and support to the compliance services team responsible for the production of IRS mandated compliance testing, employer contribution calculations, and DOL tax filings for our clients. - Provides our clients with consultative solutions while conforming to IRS and ERISA regulations. - Provides expertise and guidance to support the quality control of client requested employer contribution calculations - including, but not limited to profit sharing, employer match, and other nonelective contributions. - Provides expertise in Safe Harbor and non-Safe Harbor 401(k) plan design to provide consultative service to our clients. - Participates in prospective client sales meetings to promote Ascensus' dedication towards compliance and the efforts and tools we have to support our clients. - Lead global client facing initiatives and project teams to enhance our product offerings. Oversight of these projects and initiatives include reporting directly to Senior Leadership teams and product owners across Ascensus. - Lead and develop a team of Compliance Consultants to provide consultative solutions for our clients to increase client retention and satisfaction. - 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. - Our I-Client service philosophy and our 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. Supervision - N/A Section 3: Experience, Skills, Knowledge Requirements - 10 years industry experience in retirement services environment, including plan design and the effects on the compliance of a retirement plan. - Extensive knowledge of IRS, ERISA, and DOL regulations including the compliance testing associated with sections 401(a)(4), 402(g), 414(s), 410(b), 415, and 416. - Expertise in profit sharing contributions specifically using the new comparability formula. - Ability to make sound business judgments while effectively balancing client needs and organizational considerations. - Advanced analytical and problem solving skills. - Ability to work additional hours as necessary to meet business needs. - Consistently demonstrate a superior level of proactive client focus. - Consistent demonstration of applying consultative solutions to address client needs. - Ability to work with a high level of independence. - Ability to work within a team structure to ensure common goal of providing exceptional customer service. - Superior coaching and mentoring skills. - Excellent presentation skills, oral and written communication professionalism and etiquette, client service skills and time management proficiency. - Certification or working towards certification (ASPPA, CEBS, etc.) in industry-related studies program preferred.

• May serve as a regional/local regulatory lead and point of contact both internally and with competent national authorities in EU countries and EMA. • Contribute (independently or with GRL/ Manager guidance) to the development of global HA interaction strategy in collaboration with GRT members • Accountable for developing, singly or with GRL guidance/Manager support, the HA engagement & interaction plans for assigned products incl. authoring, leading & moderating preparation meetings • Accountable for complete and accurate communication/interaction (including tracking in relevant systems) with the HAs, affiliates and IMDD partners for the projects/products in their remit • Lead, independently or with GRL guidance, regulatory subteam to ensure NDA/BLA/ MAA/Extensions/Variations/Renewals filings meet the project timelines • Collaborate with Project Manager to develop core global dossier and collaborate with other GRT members as appropriate • Ensure regulatory submission timelines are aligned with program level and company objectives • Contribute to content and reviews for regulated documents • Support operational and compliance activities for assigned deliverables • Support GMP, GCP, and GPV inspections from health authorities • Accountable to provide updates on project and submissions status to GRT members • Accountable to support the GRL on updates to the Affiliates and interactions with IMDD and partners

• Support monitoring activities (data collection) • Support monitoring CAPAs • Support transfer of value reporting • Manage annual FMV updates • Preparation, communication and monitoring of Data Privacy Notice (DPN) • Support compliance trainings (systems) • Support with systems by being a super user (e.g. Veeva, SOOS) • Supporting Compliance Director and Senior Compliance Manager with various tasks

• Support monitoring activities (data collection) • Support monitoring CAPAs • Support transfer of value reporting • Manage annual FMV updates • Preparation, communication and monitoring of Data Privacy Notice (DPN) • Support compliance trainings (systems) • Support with systems by being a super user (e.g. Veeva, SOOS) • Supporting Compliance Director and Senior Compliance Manager with various tasks