Director of Compliance

Ascensus   •  

Franklin, TN

Industry: Finance & Insurance


11 - 15 years

Posted 37 days ago

Section 1: Position Summary

The Director of Compliance manages various day-to-day activities of the compliance department driving alignment towards our National TPA, achieve budgeted expense targets and associate and client revenue objectives.

Section 2: Job Functions, Essential Duties and Responsibilities

  • Oversee and coordinate all of the activities within the FuturePlan Operations team. Specifically, ensuring delivery of compliance test and employer calculations.
  • Responsible for organizational planning and annual staffing plans.
  • Motivate and lead teams through change.
  • Actively seek out ways to improve the associate experience.
  • Identification, evaluation, and prioritization of unified processes driving efficiencies.
  • Partner and build relationships among key stakeholders, client services, IT, and sales.
  • Identify, track, and monitor key performance metrics and recommend operational changes to improve performance.
  • Align department priorities to execute on business plan objectives to maximize revenues, client retention and organic sales.
  • Participate in strategic initiatives and collaboration opportunities across the organization.
  • Manages budget, including developing budget proposals, justifying expenses and monitoring accounts.
  • Identify and develop solutions to address risks and assist in the creation of solutions intended to drive alignment.
  • Responsible for protecting, securing, and proper handling of all confidential data held by Ascensus to ensure against unauthorized access, improper transmission, and/or unapproved disclosure of information that could result in harm to Ascensus or our clients.
  • The I-Client philosophy and the Core Values of People Matter, Quality First and Integrity Always® should be visible in your actions on a day to day basis showing your support of our organizational culture.


  • 6-8 direct reports who lead team of manager, supervisors and associates
  • Lead and direct staff to create an optimal work environment

Section 3: Experience, Skills, Knowledge Requirements

  • Bachelor's degree in business or equivalent work experience. Master's degree preferred.
  • 10+ years' experience in retirement services industry, particularly experience with cash balance plans, defined benefit plans and compliance administration for defined contributions plans
  • Ability to travel 30% of the time
  • Excellent time management and/or project management skills
  • Excellent communication skills including presentations and public speaking skills
  • Proven leadership experience, with solid decision making skills and building strong operational teams
  • Demonstrated experience and knowledge of the legislative/regulatory environment in the retirement industry
  • Excellent written and verbal communication skills; must be able to build and maintain strong relationships with a variety of internal and external counterparts

We are proud to be an Equal Opportunity Employer