Director of ERISA Compliance

Human Interest

6d•$150,000 - $180,000

About The Position

The Director of ERISA Compliance is a strategic leadership role responsible for ensuring Human Interest’s platform and 401(k) plan operations adhere to ERISA, Department of Labor (DOL), and IRS requirements. The role leads the compliance program and drives technology-enabled workflows, monitoring, and operational improvements to support plan compliance at scale. It works across regulatory governance, incident management, and product delivery, including reviewing feature rollouts and resolving high-level customer advocacy escalations in partnership with Legal. Reporting directly to the Vice President of Sales Activation & Customer Success, the Director manages compliance risks and financial exposure, owns remediation solutions, and coaches frontline compliance managers. The role also oversees fiduciary governance and documentation, regulatory inquiries and examinations, relationships with auditors and consultants, compliance policies and training, and crisis response. The Compliance team partners across customer success, onboarding, operations, product, and engineering to develop scalable automation and closed-loop processes that safeguard plan sponsors and participants.

Requirements

10 or more years of experience in ERISA compliance, including at least 5 years in leadership roles within retirement plan administration.
Current ERISA-related professional certification such as QKA, QPA, RPF, or equivalent.
Proven track record of using technology to improve compliance efficiency and scalability.
Experience administering 401(k) plans, including nondiscrimination testing, plan document maintenance, and fiduciary oversight.
Ability to develop compliance frameworks and processes that produce measurable results.
Experience implementing compliance technology solutions and automated testing systems.
Exceptional communication skills, including the ability to explain complex regulatory requirements to diverse stakeholders.
Data-driven approach to compliance management and risk assessment.

Nice To Haves

Advanced ERISA certifications such as CEBS or CPC.
Juris Doctor (JD) with an emphasis on ERISA, employee benefits, or administrative law.
Experience in a high-growth fintech, modern TPA, or SaaS retirement platform.
Track record 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.
Ability to influence regulatory strategy based on industry trends and regulatory changes.
Experience managing remote and in-office compliance teams.
Knowledge of emerging compliance technologies, including AI and machine learning applications.
Practical familiarity with workflow automation tools such as Jira and Gemini, and dashboarding software such as Salesforce and Hex.
Deep experience with voluntary correction programs, including IRS EPCRS and DOL VFCP/DFVCP.

Responsibilities

Lead and direct the compliance program to ensure adherence to ERISA, DOL, and IRS regulations across 401(k) plan operations.
Modernize compliance workflows and establish cross-functional feedback loops with Customer Onboarding, Customer Success, and Product to identify root causes of errors and delinquencies.
Develop and implement technology-driven compliance frameworks that scale with the client base while maintaining regulatory excellence.
Drive technology-enabled initiatives with Product to improve platform-wide plan compliance health.
Design and oversee automated compliance monitoring systems to identify and address potential issues proactively.
Build and manage operational dashboards tracking team SLAs, operational metrics, and statutory regulatory deadlines.
Partner with Product, Operations, and Technology to review feature rollouts, system copy, and marketing collateral for alignment with ERISA and DOL standards.
Lead customer advocacy and incident management for high-level escalations with Legal, resolving plan errors and mitigating exposure.
Oversee fiduciary governance processes and ensure fiduciary decisions are properly documented.
Lead compliance technology initiatives, including plan document automation, testing workflows, and regulatory reporting systems.
Manage relationships with external auditors, regulatory bodies, and compliance consultants.
Improve compliance processes through automation and process optimization.
Advise executive leadership on compliance risks and operational failures, and own strategic remediation solutions end to end.
Serve as the primary point of contact for regulatory inquiries and examinations.
Develop and maintain compliance policies, procedures, and training programs.
Lead crisis management protocols for compliance issues requiring immediate attention.
Coach, mentor, and develop frontline compliance managers to build operational excellence and leadership capacity.
Perform other duties as assigned.

Benefits

401(k) plan with dollar-for-dollar employer match up to 4% of compensation, immediately vested, and no plan fees.
Health plans, dental insurance, and vision insurance.
Competitive time off and parental leave.
Unlimited access to digital financial tools, financial professionals, and a knowledge center through Addition Wealth.
Enhanced mental health support for employees and dependents through Lyra.
Fertility healthcare and family-forming benefits through Carrot.
Student loan resources through Candidly.
Monthly work-from-home stipend and quarterly lifestyle stipend.
Team-building experiences, including virtual social events and team offsites.
Additional compensation components such as bonuses, commissions, and equity may be offered depending on the position.