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Plan Compliance Specialist


Dubuque, IA
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Job Details

Position Title: Plan Compliance Specialist
Job Code: 443058
Job Location: Iowa-Dubuque

Responsible for independent management of an assigned book of business in either (or both):


o    Compliance Testing & Reporting

o    Plan Document Services (both new business and existing clients)

  • Supports key initiatives and projects (including new products, new systems or enhancements) as needed.
  • Collaborates with other Plan Compliance and Financial Services team members and business partners to provide positive client experience and outcomes.
  • Plan Design & Consulting (provide expertise/recommendations for plan design changes based upon request)
  • Supports Retirement Plan Consultant organization providing documents (Prototype, Specimen and Volume Submitter plan document drafting support.  This includes support for Plan Restatements, Mergers / Acquisitions, Spin-Offs etc.
  • Some client facing responsibilities (including participation on client calls and with business partners as needed)

  • Minimum 1-3 years in financial services or related industry
  • College degree or equivalent work experience
  • Technical expertise in compliance testing & reporting/plan document services considered a plus
  • Ability to manage assignments to ensure intended results are achieved on time and within budget
  • Detail oriented
  • Strong communication and time management skills; ability to handle competing priorities
  • Intermediate proficiency in Microsoft Excel
  • ASPPA designations considered a plus
Leadership Competencies: Focuses Externally, Transform Strategy into Action, Takes Intelligent Risks, Collaborates to Seize Opportunities

Prudential is a multinational financial services leader with operations in the United States, Asia, Europe, and Latin America. Leveraging its heritage of life insurance and asset management expertise, Prudential is focused on helping individual and institutional customers grow and protect their wealth. The company's well-known Rock symbol is an icon of strength, stability, expertise and innovation that has stood the test of time. Prudential's businesses offer a variety of products and services, including life insurance, annuities, retirement-related services, mutual funds, asset management, and real estate services.

We recognize that our strength and success are directly linked to the quality and skills of our diverse associates. We are proud to be a place where talented people who want to make a difference can grow as professionals, leaders, and as individuals. Visit to learn more about our values, our history and our brand.

Prudential is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, genetics, disability, age, veteran status, or any other characteristic protected by law.

Note that this posting is intended for individual applicants. Search firms or agencies should email Staffing at for more information about doing business with Prudential.
Job Function: Other
Schedule: Full-time
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