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Compliance Servicing Specialist
Ascensus Inc
Madison, WI, United States
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Section 1: Position Summary
The Compliance Servicing Specialist position is primarily responsible for providing front-line call center and operational process support to financial institutions such as credit unions, banks, and Ascensus staff. The nature of the support provided is typically on Individual Retirement Account (IRA), Coverdell Education Savings Account (ESA) and Health Savings Account (HSA) compliance issues, regulations and operating procedures. This position requires that the specialist becomes proficient in their knowledge of complex compliance issues and the use of several operating systems. This position requires an in-depth knowledge of IRS rules and regulations and Ascensus operational processes. The specialist is also responsible to promote the expansion of Ascensus products in the marketplace where appropriate. Extensive training is provided up front and is intended to assist in the process of learning the role and strengthening the knowledge base of the candidate.
Section 2: Job Functions, Essential Duties and Responsibilities
• 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.
• Answer inbound phone calls from our clients to provide compliance and operational assistance related to IRA, HSA, ESA and other account types as necessary.
• Process death claims and miscellaneous forms related to the death claim process for our client’s deceased IRA, HSA or ESA account owners.
• Take advantage of opportunities to identify and cross-sell other Ascensus products – Maintain basic knowledge of all products and services offered throughout Ascensus, and any new products introduced within the marketplace that would benefit our clients.
Section 3: Experience, Skills, Knowledge Requirements
• Bachelor’s Degree in Business, Finance or a trade-off in related work experience
• Previous experience in a call center environment preferred.
• Proficient use of Microsoft Word, Excel and Outlook.
• Previous knowledge of financial services industry specifically related to financial organizations such as Credit Unions and Banks
• Strong written and oral communication skills
• Demonstrated customer service skills
• Proven ability to use effective listening and problem solving skills
We are proud to be an Equal Opportunity Employer
Ascensus is a place to have a career, not just a job. As the largest US independent retirement and college savings services provider, we put our focus on people. Our culture is guided by sound principles, is committed to high standards, operates with transparency, and welcomes diversity. When you join our team, you get to go to work every day knowing that you help over 6 million Americans save for retirement and college.
Ascensus is an Equal Opportunity Employer and does not discriminate on the basis of race, color, creed, national origin, ancestry, religion, age, citizenship, sex, marital or veteran status, disability or handicap, sexual orientation or any other basis prohibited by applicable law. Ascensus also takes affirmative action to employ, and advance in employment, qualified women, minorities, and covered veterans. Ascensus also makes reasonable accommodations for qualified individuals with disabilities, in accordance with the Americans with Disabilities Act and applicable state laws