Dubuque Bank & Trust

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RPS Compliance Consultant

at Dubuque Bank & Trust

Posted: 9/26/2019
Job Status: Full Time
Job Reference #: 19-0456-2

Job Description

Dubuque Bank and Trust a growing dynamic organization with many locations offering uniquely different banking and financial solutions for businesses and personal clients. As a performance driven company, we strive to create a culture of excellence with high standards, and high values while providing outstanding growth and involvement opportunities for employees. Join a team that makes "Great Things Happen!"

The Compliance Consultant is responsible for ensuring retirement plans administered by Heartland Retirement Plan Services remain current and adhere to all appropriate ERISA, IRS and DOL compliance procedures, laws and regulations. This role will have the responsibility of producing quality and compliant compliance testing and plan documents on an independent basis and have a solid understanding of Defined Contribution plan design concepts along with regulatory disclosure requirements. The Compliance Consultant will also develop working relationships with appropriate internal and external customers and provide training to other team members.


1.    Performs non-discrimination compliance testing including but not limited to ADP/ACP, Top Heavy, 410(b), 415, and 402(g).
2.    Performs contribution calculation, including new comparability.
3.    Reviews and interprets plan agreements, documents and amendments for current and prospective clients.
4.    Converts new clients to Heartland Retirement Plan Services documents and provides suggested changes for the plan operation and new plan document.
5.    Researches plan sponsor and participant inquiries pertaining to retirement plan compliance and employee benefits law as they arise.
6.    Responds to plan audit requests; works directly with auditors and sponsors as needed
7.    Reviews processes, procedures and communications and ensures all compliance processes are documented and procedures are available. 
8.    Maintains up-to date knowledge of present legislation and proposed legislative changes with regard to ERISA, IRS and DOL law through self-study and company-sponsored training sessions
9.    Consults directly with internal and external partners on compliance related issues
10.    Prepares and delivers all required notices and disclosures to plan sponsors and plan participants.
11.    Prepares and delivers all plan documents, restatements and amendments for current and prospective clients.

1.    Staying current on any continuing education required for job responsibilities or professional designations.


1.    Bachelors’ degree or equivalent work experience
2.    7-10 years of experience in qualified retirement plans with direct emphasis on 401(k) and defined contribution plans.
3.    Technical experience in plan design and compliance testing required
4.    Experience with ERISA Laws and industry standards and IRS Employee Plans Compliance Resolution System (EPCRS).
5.    Experience communicating complex plan design provisions to clients
6.    Proven ability to handle multiple priorities simultaneously with a high level of accuracy and within tight deadlines
7.    Ability to present complex and technical material to audiences of all levels. 
8.    Experience working in changing, high growth environments; comfortable with ambiguity and working in matrixed organizations


QPA, CPC, APA, or similar designation required within two years of hire.

Scheduled Weekly Hours:


Time Type:

Full time

Dubuque Bank and Trust offers you friendly, exceptional service and great banking products. As a customer, you have the unique opportunity to develop a relationship with banking professionals who care. We take pride in giving our customers the very best banking experience possible.

Our unmatched dedication to customer service is strengthened by our parent company, Heartland Financial USA, Inc. , a multi-billion financial services company that matches our loyalty to the principles of community banking. Our shared values coupled with Heartland's powerful services bring our customers the personal attention they deserve, backed by the products and services that make Great Things Happen!

Dubuque Bank and Trust’s team of leaders is fully committed to serving our clients, employees and community.

EOE/AA Employer · M/F/Disabled/Vet

Member FDIC · Equal Housing Lender

Employment at Heartland Financial USA, Inc. is employment at will

Posted 30+ Days Ago

Full time


Application Instructions

Please click on the link below to apply for this position. A new window will open and direct you to apply at our corporate careers page. We look forward to hearing from you!