The Plan Document Compliance Senior Lead is responsible for ensuring the best interests of institutional clients and internal business partners and in accordance with plan documents and legal requirements. This job reviews plan documents, helps clients resolve complex operational and regulatory compliance issues relating to defined contribution retirement plans and consults with internal business partners and clients on how best to attain plan objectives while maintaining the plans' qualified status. As a recognized thought leader in defined contribution retirement plan document compliance, this job independently analyzes and interprets new laws and regulations to determine client and operational impacts and holds discussions to influence the best strategy to implement changes for clients and impacted internal partners. This job is responsible for delivering consultative services for the most complex plans, which primarily consists of the organization's most influential and highest AUM clients and has a significant impact to the organization's bottom line.
Key Responsibilities and Duties- Evaluates defined contribution retirement plan documents for internal recordkeeping problems, compliance issues or client concerns.
- Provides new plan setup and review suggestions for plan design and/or administrative enhancements to influence client in using best practices while meeting client objectives.
- Provides comparative analysis of plan provisions and protected benefits for corporate mergers and acquisitions.
- Researches and resolves highly complex operational and regulatory compliance issues arising from both client questions and from internal plan document review activities, using available electronic and hard copy resources.
- Conducts an analysis of options available if an operational error is discovered on the plan and communicates findings, discusses implications and offers alternative courses of action that client may take with internal parties, and/or client and client’s attorneys and other advisors as appropriate.
- Analyzes impact of new regulations and legislation on client plan needs and operational processes and develops a strategy to influence client decisions to align with best practices.
- Maintains highest level of regulatory knowledge and understanding of industry trends and educates team members, business partners and clients regarding legislative and regulatory developments.
- Serves as a lead subject matter expert on defined contribution retirement plan document compliance and represents department in cross-functional and strategic initiatives.
Educational Requirements- University (Degree) Preferred
Work Experience- 5+ Years Required; 7+ Years Preferred
Physical Requirements- Physical Requirements: Sedentary Work
Career Level 9IC
Required:
- Licensed (or previously licensed) attorney with experience specifically related to Pension/ERISA
- Demonstrated experience reviewing, consulting on, and creating plan documents for 403(b), 401(a)/(k), nonqualified deferred compensation plans, money purchase, profit sharing, and church plans, with an understanding of grandfathered provisions (when applicable)
- Experience creating/updating templated plan documents based on regulatory changes for 403(b), 401(a)/(k), nonqualified deferred compensation plans, money purchase, profit sharing, and church plans
- Understanding of plan administration, plan design, plan provisions, and product offerings
Preferred:
- Juris Doctor designation, Industry designations such as QKA or TGPC
- Excellent communication skills (both oral and written) and listening skills
- Ability to work independently, develop strong relationships, and collaborate with internal business partners, vendors, clients and consultants, valuing varied perspectives and encouraging a culture of trust and shared success
- Excellent time management skills; proven ability to solve problems and resolve conflicts
Related Skills
Accountability, Business Acumen, Business Development, Client Relationship Management, Commercial Mindset, Communication, Financial Markets Impact, Inspires Others, Negotiation, Problem Solving, Relationship Management, Retirement Planning Selling
Anticipated Posting End Date:
2026-09-29
Base Pay Range: $124,000/yr - $141,000/yr
Actual base salary may vary based upon, but not limited to, relevant experience, time in role, base salary of internal peers, prior performance, business sector, and geographic location. In addition to base salary, the competitive compensation package may include, depending on the role, participation in an incentive program linked to performance (for example, annual discretionary incentive programs, non-annual sales incentive plans, or other non-annual incentive plans).
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