About the roleThe Director of Retirement Compliance is a strategic, high-impact leadership role responsible for ensuring that Human Interest's platform operates with regulatory precision under ERISA, DOL, and IRS guidelines. This leader will drive continuous innovation across compliance workflows, architecting root-cause feedback loops to resolve plan errors and delinquencies while driving the end-to-end compliance health of our plans at scale.
Operating at the intersection of regulatory governance, incident management, and product delivery, the Director will oversee high-level customer advocacy escalations in close partnership with Legal, steer feature rollout reviews, and build real-time monitoring infrastructure for SLAs and regulatory deadlines. Reporting directly to the Vice President of Sales Activation & Customer Success, this individual will proactively manage risk and financial exposure, own remediation solutions end-to-end, and actively coach and uplevel frontline compliance managers.
About the teamThe Compliance team serves as the guardian of Human Interest's regulatory integrity and fiduciary excellence. We sit at the nexus of regulatory compliance, customer success, onboarding, operations, and product engineering. Rather than acting as a traditional back-office audit function, our team acts as proactive problem solvers-designing scalable automation, building data pipelines, and establishing closed-loop operational workflows that safeguard plan sponsors and participants. As we continue to democratize access to retirement benefits, we're looking for a visionary leader who can scale our compliance operations through technology while maintaining our commitment to fiduciary excellence.
What you get to do every day- Lead and direct Human Interest's compliance program ensuring adherence to ERISA, DOL, and IRS regulations across all 401(k) plan operations
- Modernize compliance workflows and build cross-functional feedback loops with Customer Onboarding, Customer Success, and Product to perform root-cause analysis on errors and delinquencies.
- Develop and implement technology-driven compliance frameworks that scale with our growing client base while maintaining regulatory excellence
- Own and drive scalable, technology-enabled initiatives with Product to improve platform-wide plan compliance health.
- Design and oversee automated compliance monitoring systems to proactively identify and address potential issues
- Build and manage operational dashboards to continuously track team SLAs, operational metrics, and statutory regulatory deadlines.
- Partner cross-functionally with Product, Operations, and Technology teams to review platform feature rollout plans, system copy, and marketing collateral to guarantee strict alignment with ERISA and DOL standards.
- Lead Customer Advocacy and incident management for high-level escalations in close partnership with Legal to resolve plan errors and mitigate exposure.
- Oversee fiduciary governance processes and ensure proper documentation of fiduciary decisions
- Lead compliance technology initiatives including plan document automation, testing workflows, and regulatory reporting systems
- Manage relationships with external auditors, regulatory bodies, and compliance consultants
- Drive continuous improvement of compliance processes through automation and process optimization
- Advise executive leadership on compliance risks and operational failures, proposing and owning strategic remediation solutions end-to-end.as primary point of contact for regulatory inquiries and examinations
- Develop and maintain compliance policies, procedures, and training programs
- Lead crisis management protocols for compliance-related issues requiring immediate attention
- Coach, mentor, and uplevel frontline compliance managers to build operational excellence and scale team leadership.
- Other duties as assigned.
What you bring to the role- 10+ years of experience in ERISA compliance, with at least 5 years in leadership roles within retirement plan administration
- Current ERISA-related professional certifications (QKA, QPA, RPF, or equivalent)
- Proven track record of leveraging technology to drive compliance efficiency and scalability
- Experience with 401(k) plan administration, including nondiscrimination testing, plan document maintenance, and fiduciary oversight
- Strong ability to develop compliance frameworks and processes that drive measurable results
- Experience implementing compliance technology solutions and automated testing systems
- Exceptional communication skills with ability to translate complex regulatory requirements for diverse stakeholders
- Data-driven approach to compliance management and risk assessment
Nice to have- Advanced ERISA certifications (CEBS, CPC,)
- Juris Doctor (JD) with an emphasis on ERISA, employee benefits, or administrative law
- Experience within a high-growth fintech, modern TPA, or SaaS retirement platform.
- Track record of implementing compliance automation in high-growth environments
- Experience scaling compliance functions from startup to enterprise stage
- Background in regulatory technology (RegTech) or compliance software implementation
- Proven ability to influence regulatory strategy based on industry trends and regulatory changes
- Experience managing both remote and in-office compliance teams
- Knowledge of emerging compliance technologies including AI and machine learning applications
- Practical familiarity with workflow automation tools (e.g., Jira, Gemini) and dashboarding software (e.g., Salesforce, Hex).
- Deep background navigating voluntary correction programs (IRS EPCRS and DOL VFCP/DFVCP).
Compensation - At Human Interest, there are a number of factors that are used to determine the appropriate pay range for each position. We take into account the cost of labor for each position in various markets across the U.S. The base salary for this position spans $150,000 - $180,000and represents the minimum in our lowest geographic region to a maximumin our highest geographic region. The salary we offer to a new employee within this range is based on their location within the U.S., their relevant job-related skills, and experience. At Human Interest, base salary is one component of the overall total rewards package. Depending on the position, additional compensation components such as bonuses, commissions, and equity may be offered. All of our employees are offered a robust suite of physical, financial, and mental wellness benefits. In compliance with applicable laws, we do not inquire about salary history, or about criminal history prior to a conditional offer of employment.
Benefits -
- A great 401(k) plan: Our own! Our 401(k) includes a dollar-for-dollar employer match up to 4% of compensation (immediately vested) and $0 plan fees
- Top-of-the-line health plans, as well as dental and vision insurance
- Competitive time off and parental leave
- Addition Wealth: Unlimited access to digital tools, financial professionals, and a knowledge center to help you understand your equity and support your financial wellness
- Lyra: Enhanced Mental Health Support for Employees and dependents
- Carrot: Fertility healthcare and family forming benefits
- Candidly: Student loan resource to help you and your family plan, borrow, and repay student debt
- Monthly work-from-home stipend; quarterly lifestyle stipend
- Engaging team-building experiences, ranging from virtual social events to team offsites, promoting collaboration and camaraderie.
