Vicki Iseminger, Apa Email & Phone Number

Telecommute

• Analyze prospective clients’ Defined Contribution (“DC”) plan documents, including 401(k),profit sharing, and 403(b) for potential takeover.
• Review new client DC plan documentation and draft appropriate documents forconversion.
• Draft DC plan amendments for all products, as requested by clients.
• Draft and review DC summary plan descriptions (SPD) and summary of materialmodifications (SMM) as plans are amended.
• Prepare required Participant notices, which may include Safe Harbor notices,ACA/EACA/QACA notices and QDIA notices, annually and on an as needed basis.
• Research client requests to determine whether their plans comply with applicablegovernment regulations and if Pentegra can and will administer such requests.

Telecommute

• Prepared plan documents, amendments, and resolutions.
• Prepared Summary Plan Descriptions and Summary of Material Modifications.
• Prepared required IRS / DOL participant notices.
• Maintained a general working knowledge of ERISA rules applicable to employee retirement plans.
• Prepared other documentation, reports, etc. as assigned.

Telecommute

• Mapped and drafted plan documents during the onboarding process for both existing plans and for new plans.
• Quality checked approximately 460 403(b) plan document restatements prior to the March 31, 2020, IRS deadline.
• Quality checked amendments.
• Reviewed enrollment booklets to ensure accuracy for a high-profile Private Label partner until the block of business successfully transitioned to the standard vendor platform.
• Member of the team that restated approximately 470 defined contribution plan documents for a newly acquired Private Label partner. Drafted 123 of the 466 plans (26%) and quality checked an additional 197 plans (42%).

Telecommute, Contract Position For PPA Restatement

• Member of PPA project team that restated approximately 3,000 401(k), Profit Sharing, and Money Purchase Pension Plans
• PPA Project completed 4 months ahead of the April 30, 2016, deadline. Converted assigned EGTRRA documents to PPA documents, completed a thorough self-review of each converted document and also quality checked.
• Interpreted, designed and drafted plan documents.
• Drafted plan amendment instructions for co-worker input.
• Input and compiled plan document amendment packages including the creation of Adoption Agreements, Summary Plan Descriptions, resolutions, miscellaneous forms, letters and notices.
• Corrected, modified, and adjusted plan documents and amendments and provided feedback to colleagues on changes made.

Telecommute

• Sole auditor for approximately 5,300 401(k), Profit Sharing, Money Purchase Pension, 403(b) and 457 plans
• Completed audits accurately and efficiently to ensure compliance with guidelines set by ERISA, IRS and DOL regulations in addition to internal controls.
• Developed positive and constructive relationships with plan document staff of ten (including two team leads) by providing direct feedback from audits.
• Analyzed the most frequent audit errors made by plan document staff and collaborated with management, the business process expert, team leads and consultants to provide exceptional quality and prompt completion of all.

Greenwood Village, CO

• Advised both internal and external clients on 401(k), Profit Sharing and Money Purchase Pension Plans.
• Reviewed Account Manager’s quarterly account reviews of plans utilizing internal custodial or trustee trust services as required by the Colorado Division of Banking by ensuring all required documentation was complete.
• Worked with Trust Officers on exception management/clearing in accordance with the Colorado Division of Banking requirements.
• Maintained audit review procedural documents.
• Continually assessed and updated record-keeping system to move plans to internal trust services and ensured all required documents were obtained.
• Converted plans moving from Third Party Administrator administration to internal document and compliance services.

Greenwood Village, CO

• Responsible for knowing the variety and complexity of plan features for restating, converting and amending plan documents.
• Independently evaluated complex amendment requests with Plan Document Analysts by using job knowledge and consulting written and human resources to determine appropriate actions.
• Communicated daily with internal departments, clients and Plan Document Analysts to resolve issues and gather information.

Greenwood Village, CO

401(k), Safe Harbor, and cross-tested plansClient Contact with sponsor, broker, and field consultants via email and phone to resolve issues and gather information on a variety of plan featuresPlan designResponsible for coordinating setup of qualified plans on record keeping system. Facilitated transfer of assets and records from prior carriersReconciled.

Greenwood Village, CO

401(k), Safe Harbor, cross-tested, Profit Sharing and Money Purchase Pension plansClient contact with sponsor, broker, and field consultants via email and phonePlan design, drafting and interpretation

Greenwood Village, CO

401(k), Safe Harbor, and cross-tested plans5500’s, complete and gather dataCompliance testing ADP/ACP, Top Heavy, 415, 402(g), 410(b), 414(s) Client Contact with sponsor, broker, and field consultants via email and phone Plan design and interpretation

Aurora, CO

Maintained and enhanced relationships as primary contact for targeted representatives and high net-worth clients.

Aurora, CO

Responded to shareholder and broker inquiries. Processed wires and other financial transactions on accounts. Discussed financial markets, tax implications, and mutual fund basics.

Greenwood Village, CO

Responsible for all office support activities for registered representative (i.e. processing paperwork, placing trades, etc.), client prospecting, customer service issues, and all other duties as assigned.

Greenwood Village, CO

Also worked as a temporary employee from September 1998 to November 1998. Responsible for preparation of monthly corporate financial statements, preparation of reports for management analysis, bank reconciliations, and unclaimed property reporting. Also assisted with quarterly and annual statement preparation and annual premium tax returns. Miscellaneous.

Aurora, CO

Prepared federal and state personal income tax returns for clients.

Denver, CO

Responsible for bookkeeping for 57 partnerships including monthly reconciliations and daily deposits, accounts payable, accounts receivable, assisted with budget preparation, assembled documents for tax preparation, and distributed K-1s to over 400 partners. Prepared worksheet on a monthly basis for the Accounting Division.