Compliance Documentation Specialist (Full Time)

Location: Fargo



The Compliance Documentation Specialist is responsible for the completion of client plan documents along with reviewing and assisting with the processing of non-discrimination testing information. The Documentation Specialist is a dedicated resource for all parties involved in the compliance process and provides excellent customer service both internally and externally.


  • Plan Document, Summary Plan Descriptions and Summary of Benefits and Coverage (SBC)
    • Create necessary plan documents, summary plan descriptions and SBCs using information provided by clients on plan document checklists, adoption agreement templates, or the implementation design guides.
    • Ensure accuracy of information keyed into the plan document and summary description software, adoption agreements and SBCs.
    • Proactively seek answers to questions related to information provided by clients to ensure the accuracy of the final plan document and summary plan description.
    • Email completed plan document, summary plan description and SBC (if applicable) to client within 10 business days from receipt of complete information.
    • Create and distribute plan document amendments as needed or as required through regulatory changes.
    • Update SBCs based on input from clients
    • Maintain accurate information within OnBase and WorkView for tracking and reporting purposes.
    • Assist Compliance Specialist when responding to questions from clients regarding the plan documents where necessary.
  • Non-Discrimination Testing Files
    • Assist with entry and maintenance of client information in NDX site.
    • Process non-discrimination testing files received from clients within 24 hours of receipt of error free files.
    • Review non-discrimination testing file errors and provide information back to clients related to what is required to correct file errors. Coordinate with CXC on file errors where necessary.
    • Assist with communicating testing results to clients and consultants within 7-10 business days from receipt of complete and accurate information.
    • Answer questions from clients on testing process and file format. Attend or schedule conference calls on an “as needed” basis.
    • Assist with review and processing of NDX activity report and invoices.
    • Maintain accurate tracking records in OnBase and WorkView for future reference and reporting.
  • Service Requests
    • Review and process service requests daily. Update plan documents as applicable.
  • Annual 5500 Reporting
    • Process the distribution of 5500 information to clients on a monthly basis.
  • Small Client Implementation
    • Assist as needed with upload of completed ASA/BAA.
  • Customer Service
    • Ensure appropriate documents are provided to clients in a timely manner.
    • Work with other departments to ensure a positive customer experience.
    • Create efficiencies and improve processes for clients and consultants.
    • Respond to email inquiries from consultants, brokers and clients within 24 hours.
  • Regulatory Compliance
    • Ensure privacy according to HIPAA HITECH requirements.
    • Ensure compliance under applicable regulations affecting DBI’s lines of business.
  • Knowledge and Training
    • Regularly attending ECFC teleconferences and EBIA web conferences when available.
    • Attend department meetings on a monthly basis.
    • Meet with supervisor one-on-one at least monthly.
  • Special Projects
    • Assist with special projects.
    • Continually work on improving departmental workflow.
    • Assist with development and update of administrative procedures as needed.
    • Assist with review and update of administrative forms as needed.


  • Customer Service: Interacts with customers in a warm and friendly way. Takes immediate action to meet customer requests and needs. Listens to understand what customers have to say.
  • Interpersonal / Communication: Must have strong verbal communication skills, ability to read and write effectively. Must have the ability to listen, evaluate and exercise independent judgment. Must be able to maintain confidentiality when using sensitive materials. Builds effective working relationships. Expresses appreciation to other for their work. Treats others with respect.
  • System Behavior: Works in a manner that considers the entire organizational and departmental impact. Demonstrates personal commitment to the principles, values and ethics of the organization.
  • Must have the computer competency necessary to navigate on the computer to locate answers to clients’ questions.
  • Requires the manual dexterity to efficiently operate a computer keyboard, calculator and copy machine. Must be able to see, hear and speak clearly.


  • Customer service experience and benefit experience typically acquired in 1 year to two years.
  • Computer proficiency required.
  • Must have excellent customer service skills.
  • Excellent verbal and written communication skills
  • Excellent presentation skills
  • Excellent organizational skills
  • Excellent analytical skills
  • Innovative
  • Meets daily deadlines consistently
  • Must take initiative in jobs performed; seek solutions and answers to problems
  • Flexibility/ adaptability