Working with the National Compliance management team, this position is responsible for leading and supporting the compliance management team. This position will work directly with business partners and the Director of compliance to lead effective organizational change to further establish a compliance model that can support the long-term vision and goals of FuturePlan. This role will implement and establish effective compliance processes and procedures to allow the teams to provide the strongest customer experience to both internal and external clients. The Sr Manager will also be a key contact with ERISA, business partners, and FuturePlan leadership, serving as an escalation point to resolve client service and operational needs.
Essential Duties and Responsibilities:
- · Implement project plans and teams to achieve the strategy and vision for the ongoing success and growth of the compliance department, supporting the FuturePlan mission
- · Align department priorities to execute on business plan objectives to maximize revenues, client retention and organic sales
- · Foster and grow continued partnerships with our Global processing teams to support the future growth and needs of the compliance
- · Ability to work and partner across the Ascensus organization to integrate opportunities, processes, and foster further alignment with the broader organization
- · Keep abreast of all transactions, trends, system problems, etc. and escalate to upper management if necessary
- · Ability to quickly and effectively identify regulatory/risk needs, providing direction to address policies, processes and controls related to those needs.
- · Communicate effectively to all levels of leadership with updates on projects, requests and escalations to ensure all interested parties are informed.
- · Ensure daily/weekly/monthly SLAs are met. Escalate issues in a timely manner to minimize impact to clients.
- · Provide timely management reports on active and completed client tasks, as well as staffing levels, revenue amounts, and other pertinent information
- · Coordinate between the Operations and Service teams any changes to workflows, client impact, or process changes as applicable
- · Hire, coach, and develop talent within the compliance organization to engage associates and encourage associate retention
- · Develop and support ongoing training and mentoring for both Operations and Service teams
- ·Ensure proper audit controls are in place and being followed for Compliance Operations
- Performs other duties and special projects as assigned.
- • 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.
- ·Bachelor's degree in Business Administration or Management, Finance, or related field
- · Seven to ten years of leadership experience required
- · Experience managing and leading teams across multiple locations preferred
- · A base ERISA knowledge required and a deep ERISA knowledge preferred
- · Experience with qualified retirement plans or some level of financial services required
- · Excellent written and oral communication skills
- · Strong interpersonal skills with internal and external clients
- · Detail oriented with strong organizational and time management skills
- · Ability to handle multiple priorities and meet deadlines
- · Ability to effectively hire and develop associate base
- · Strong change leadership skills and abilities to enhance and grow associate engagement