Recordkeeping Analyst (Quality Control Specialist)
About The Position
ABOUT OUR CLIENT: Our client is a full-service 401(k) recordkeeper, third-party administrator (TPA), and registered investment advisor (RIA). They partner with plan sponsors, advisors, and payroll providers to deliver accurate, compliant, and efficient retirement plan administration. They aim to deliver a white-glove service to our clients and plan participants through fast, high-quality responses and proactive communication, leveraging technology to empower their people to do their best work. WHAT YOU WILL DO: The Recordkeeping Analyst – Quality Control Specialist is responsible for validating the accuracy, completeness, and integrity of recordkeeping data after processing and before it is relied upon by participants, clients, and downstream compliance and reporting functions. This role serves as a critical control point, ensuring that outputs from contribution processing and related workflows are correct, consistent, and audit-ready. This is a hands-on, individual contributor role with no direct reports. The position acts as a second line of defense within Recordkeeping, focused on detecting errors, verifying results, identifying systemic risks, and strengthening overall data quality through structured review and feedback. Post-Processing Data Review & Validation Perform quality control reviews on processed contribution data and recordkeeping outputs Verify posted contributions align with validated source files, plan provisions, and system rules Confirm participant balances, source allocations, and transaction records are accurate and complete Identify anomalies, outliers, or inconsistencies that indicate processing or data issues Ensure data is clean, consistent, and ready for client reporting, compliance testing, and audits Issue Identification & Escalation Identify and escalate data errors, control failures, or systemic risks promptly Partner with internal teams (e.g. payroll, relationship management, compliance, technology) to resolve findings Monitor queues, workflows, and exception reports to ensure timely posting Track recurring issues and patterns to support long-term remediation Escalate time-sensitive or high-risk issues appropriately Quality Control Execution Execute defined QC checklists, reconciliations, and sampling procedures Review exception reports and system outputs to confirm issues were resolved correctly Validate corrections and reprocessing activity before final sign-off Process Feedback & Improvement Provide structured feedback to upstream teams to improve data quality and reduce rework Contribute to enhancements of QC procedures, controls, and documentation Identify gaps in controls or review coverage and recommend improvements Contribute ideas that strengthen controls and improve efficiency Quality & Compliance Support Ensure contribution processing aligns with ERISA, IRS, and DOL requirements for accuracy and traceability Support audits, internal reviews, and compliance checks related to contributions by ensuring outputs are accurate and well-documented Maintain a strong focus on accuracy, traceability, and audit readiness
Requirements
- Strong Excel skills, including data comparison, formulas, and reconciliation techniques
- High attention to detail with the ability to identify subtle data inconsistencies
- Ability to manage high-volume, deadline-driven operational work
- Strong analytical, problem-solving, and troubleshooting skills
- Clear written and verbal communication skills
Nice To Haves
- Experience in a recordkeeping, TPA, or retirement services environment
- Familiarity with automation tools or workflow technology used in operations
- Experience supporting audits or correction activity related to contributions
Responsibilities
- Perform quality control reviews on processed contribution data and recordkeeping outputs
- Verify posted contributions align with validated source files, plan provisions, and system rules
- Confirm participant balances, source allocations, and transaction records are accurate and complete
- Identify anomalies, outliers, or inconsistencies that indicate processing or data issues
- Ensure data is clean, consistent, and ready for client reporting, compliance testing, and audits
- Identify and escalate data errors, control failures, or systemic risks promptly
- Partner with internal teams (e.g. payroll, relationship management, compliance, technology) to resolve findings
- Monitor queues, workflows, and exception reports to ensure timely posting
- Track recurring issues and patterns to support long-term remediation
- Escalate time-sensitive or high-risk issues appropriately
- Execute defined QC checklists, reconciliations, and sampling procedures
- Review exception reports and system outputs to confirm issues were resolved correctly
- Validate corrections and reprocessing activity before final sign-off
- Provide structured feedback to upstream teams to improve data quality and reduce rework
- Contribute to enhancements of QC procedures, controls, and documentation
- Identify gaps in controls or review coverage and recommend improvements
- Contribute ideas that strengthen controls and improve efficiency
- Ensure contribution processing aligns with ERISA, IRS, and DOL requirements for accuracy and traceability
- Support audits, internal reviews, and compliance checks related to contributions by ensuring outputs are accurate and well-documented
- Maintain a strong focus on accuracy, traceability, and audit readiness
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
No Education Listed
