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Years of Experience
Date Last Verified
ProfileERISA Attorney (Retirement industry/401K) Duties: Providing consulting services to Ascensus clients through Ascensus’ technical access service, providing in-house consulting, conducting seminars, technical research, analysis and special projects as assigned. Design, write, and update internal or external training modules on ancillary laws. Fee-for-Service Engagements (Corrections, Controlled Group Determinations, Determination Letter Filings). Independently perform custom advanced external fee for service consultations (e.g., nonbank trustee applications, group submissions, VFCP). Disputes, Policies, Inquiries and Subpoenas. Draft formal responses to legal or other inquiries to attorneys, the IRS, DOL or other governmental agency. Draft template and customized correspondence and legal memorandum. Independently perform review and approval of QDROs and other advanced benefit claims processing (e.g., hardship distributions). Assist with QDRO consultations and other advanced benefit claims processing (e.g., hardship distributions). Independently perform review and approval of death claims. Assist with death claim consultations. Complete advanced legal research projects and present advanced legal research findings. Mentor associates to conduct retirement plan and legal research. Write comprehensive findings and recommendations of advanced legal research projects (e.g., white paper). Retirement Technical Knowledge (QRP and specialty plans (e.g., 403(b), 457, DB, Cash Balance, ESOP, non-qualified, 409A)). Demonstrate basic understanding of ESOP, non-qualified plans, and 409A plans. Knowledge of associated regulatory agencies (e.g., SEC, FINRA, NAFCU, FDIC, OCC, OTS). Demonstrate functional knowledge of retirement income planning strategies. Demonstrate knowledge of the various business structures (e.g., sole proprietor partnerships, corporations, LLC, non-profit, stock attribution, foreign affiliates). Demonstrate basic knowledge of state laws that apply to retirement plans (e.g., withholding, domestic relations, debtor/creditor, preemption). Obtain continuing education credits to maintain licensure in at least one jurisdiction. Work with corporate legal counsel to review and draft agreements and perform other corporate legal work as necessary (e.g., copyright, trademark).
Qualification and Experience
Requirements: JD Degree from an accredited law school. Maintain an active license in at least 1 jurisdiction. 5 years of experience or 7 years industry experience. Performance review ratings of exceeding expectations.
UA Tech Park at Rita Road
Tucson, AZ 85747