Compliance Testing Analyst
Resume:
LAURA E ZAPATA DE VIENA
**** ********* ****. *-***, Torrance, CA 90502
602-***-**** *********@*******.***
OBJECTIVE:
To secure a position with an opportunity to use my benefits and retirement administration experience while promoting professional growth.
EMPLOYMENT:
BDO USA PC, Los Angeles, CA
Global Employer Services, Retirement Plan Services Manager June 2022 to April 2024
Responsible for managing workflow activity to meet deadlines on work assigned to staff.
Mentored and guided staff on compliance related questions and pension software involved in completing client work.
Provided plan set up recommendations and corrections for existing plans in Relius software.
Reviewed contribution calculations, compliance testing, administration, and Form 5500 work prepared by staff and provided guidance on corrections needed.
Reviewed time reports for possible out of scope billing.
Assisted other managers with review work on their assigned plans. Ascensus, Dresher, PA
Retirement Plan Consultant/Compliance Analyst February 2019 to June 2022
Responsible for initial review of data upload and preliminary reports prepared by offshore team and revise as needed.
Responsible for compliance testing, contribution calculations, and annual return preparation on approximately 110 employer retirement plans.
Provided guidance and instruction to consultants with direct client contact on corrections and overall process.
Trained and provided support on Relius software to other employees with no prior software experience.
The Ryding Company, West Lake Village, CA
Senior Pension Consultant August 2017 to April 2018
Responsible for the administration, compliance testing, and governmental reporting of approximately 80 Profit Sharing, 401(k), and Money Purchase pension plans.
Duties included compliance testing, asset reconciliation and transaction posting to participant accounts.
Reviewed loan and distribution paperwork for clients, calculated benefits, reviewed forms for completion and processed via record-keeper portal or instructed clients on procedures to follow to complete disbursement.
Prepared Form 5500, related schedules, and Form 1099-R for participant distributions.
Daily interactions with clients, CPAs, participants, and investment advisors to clarify activity, clarify compliance issues and answer benefit related questions.
Completed new plan setup, and assisted auditors with plan audits. Schneider Downs Retirement Services, Pittsburgh, PA (Remote) Compliance Reporting Specialist October 2016 to April 2017
Assisted with year-end compliance testing and audit reporting on approximately 200+ plans.
Trained another employee on newly acquired Relius Administration software, identified, and implemented Adjustments/Corrections checklist to properly document for audit purposes.
Identified necessary steps needed to properly correct and be able to generate necessary compliance reports for annual administration testing, and audit reporting purposes from Aspire conversion. 2 P a g e
LAURA E ZAPATA DE VIENA
1115 Sepulveda Blvd G-104, Torrance, CA 90502
602-***-**** *********@*******.***
EMPLOYMENT (Continued):
Actuarial Consultants, Inc., Torrance, CA
Consulting Administrator April 2015 to October 2016
Main contact for full administration on assigned case load of approximately 40 plans.
Prepared annual compliance testing, contribution projections, and government reporting (5500 and related schedules, 8955-SSA and 5330).
Assisted clients daily with ongoing plan operation and record keeper processes.
Assisted other Administrators as back up on an as needed basis. Beneco Trust Company, Scottsdale, AZ (Now acquired by Ascensus) Compliance Specialist May 2013 to April 2015
Performed eligibility and compliance testing (ADP/ACP, 402(g), Plan Limits, 415 limits, 404(c), 401(a)(4), top heavy) and made recommendation on failed test corrections as needed on a client case load of approximately 100+ retirement plans.
Prepared contribution projections. Reconciled over 160 client accounts in preparation to complete annual returns Form 5500.
Assisted auditors on approximately 20 large plan audits.
Trained new employees, revised process procedures for the compliance team and assisted manager with project assignments and performed peer review for three other Pension Administrators. American Express, RSM McGldrey Inc, Verisight, (Most recently Newport Group but now acquired by Ascensus)
Senior Benefits Administrator July 2003 to April 2013
Responsible for the administration, compliance testing, and governmental reporting of approximately 160 Profit Sharing, 401(k), and Money Purchase pension plans.
Duties included compliance testing, annual and interim asset reconciliation and transaction posting to participant accounts.
Prepared loan and distribution paperwork for clients, calculated benefits, reviewed forms for completion and processed via record-keeper portal or instructed clients on procedures to follow to complete disbursement.
Prepared Form 5500, related schedules, and Form 1099-R for participant distributions.
Dealt directly with clients, CPAs, participants, and investment advisors daily to clarify activity, clarify compliance issues, and answer benefit related questions.
Completed new plan setup, record-keeper asset transfers for new and ongoing clients, and assisted auditors with plan audits.
Main contact for Nationwide plans setup and administration.
Assisted in the preparation of health and welfare benefit plans billing and reconciliations plus annual returns Form 5500 and Schedules A for a client block of over 300 plans.
Assisted with Employee Stock Ownership Plans (ESOP) transaction processing for other offices. Prepared billing for work performed on client assignments. EDUCATION:
Bachelor of Science in Accounting
DeVry University, Phoenix, Arizona - October 1994
3 P a g e
LAURA E ZAPATA DE VIENA
1115 Sepulveda Blvd G-104, Torrance, CA 90502
602-***-**** *********@*******.***
PERSONAL ATTRIBUTES:
Possess high degree of initiative, dedication and adaptability, along with strong analytical, and problem solving skills, with top notch customer service, and client retention. Proven ability to multi-task, plan, coordinate and execute. Self-starter, fast learner, highly organized and motivated. Knowledgeable with ERISA, IRS, and DOL rules and regulations pertaining to retirement plans. Fluent in Spanish. SOFTWARE SKILLS:
Microsoft Office, PeopleSoft, Paylocity, Kronos, Relius Administration, Relius Government Forms, Ft. Williams- Government Forms, ASC, Peachtree, QuickBooks, CSM, SalesForce, PensionPro, Go File Room, BYSIS.
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