Retirement Compliance Consultant
About The Position
The Compliance Consultant serves as the primary compliance relationship lead for an assigned book of retirement plan clients, delivering proactive, consultative guidance while overseeing the successful execution of compliance-related services. This role is highly client-facing and relationship-oriented, requiring deep retirement plan compliance expertise combined with strong organizational, communication, and work flow management skills. Rather than performing day-to-day compliance production work, the Compliance Consultant is responsible for coordinating and overseeing the completion of compliance services through internal Compliance Associates and operational support teams. The role ensures deadlines are met, work is accurate, risks are identified early, and clients receive proactive strategic guidance regarding plan operations, compliance matters, and plan design opportunities. The Compliance Consultant acts as a trusted advisor to clients, advisors, auditors, and internal teams, managing a high-volume caseload of retirement plans while ensuring a high-touch, consultative service experience. This position requires the ability to identify issues before they become problems, drive accountability across operational teams, and provide practical, business-oriented solutions to complex retirement plan compliance matters.
Requirements
- 5+ years of retirement plan administration, compliance consulting, or TPA experience required.
- Strong working knowledge of ERISA, IRS, and DOL regulations related to qualified retirement plans.
- Demonstrated expertise in retirement plan compliance operations, including nondiscrimination testing, Form 5500 filings, audits, plan corrections, and plan design concepts.
- Strong consultative and relationship-management skills with the ability to communicate complex compliance matters clearly and confidently.
- Proven ability to manage a large client caseload while balancing competing priorities and deadlines.
- Experience coordinating and overseeing workflow execution through operational or compliance support teams.
- Strong organizational, project management, and follow-through skills.
- Ability to proactively identify issues, drive solutions, and maintain accountability across teams.
- Excellent verbal, written, and presentation skills.
- Strong problem-solving and critical-thinking abilities with a practical, client-focused approach.
- Ability to build strong relationships through phone, video, and email communication.
- High attention to detail and ability to manage large volumes of information and data.
Nice To Haves
- ASPPA designations such as APA, APR, QKA, QKC, or equivalent preferred (or willingness to obtain).
Responsibilities
- Serve as the primary compliance relationship contact for an assigned book of retirement plan clients.
- Provide proactive, consultative guidance regarding plan operations, compliance matters, plan design considerations, corrections, and regulatory requirements.
- Manage and oversee the completion of compliance-related services performed by Compliance Associates and operational support teams.
- Monitor workflows, deadlines, and deliverables to ensure timely and accurate completion of annual compliance requirements.
- Coordinate and oversee annual compliance processes, including nondiscrimination testing, Form 5500 preparation, audit support, plan amendments, annual notices, and related compliance deliverables.
- Maintain regular communication with clients, advisors, auditors, and internal stakeholders regarding plan status, outstanding items, deadlines, and compliance matters.
- Identify operational risks, compliance concerns, data issues, and service gaps proactively and drive resolution efforts.
- Lead and participate in client meetings related to plan compliance, operational reviews, plan design discussions, mergers & acquisitions, corrections, and regulatory updates.
- Partner closely with internal teams to ensure seamless client delivery and issue resolution.
- Escalate critical issues appropriately while driving accountability and follow-through across supporting teams.
- Provide strategic and practical recommendations regarding retirement plan compliance and operational best practices.
- Review work product for quality, accuracy, completeness, and consistency prior to delivery to clients.
- Assist in developing and maintaining standard operating procedures, workflows, and best practices.
- Support training and mentoring efforts for Compliance Associates and other operational staff.
- Maintain strong working knowledge of ERISA, IRS, and DOL regulations and industry developments impacting qualified retirement plans.
- Manage a high-volume caseload while maintaining strong responsiveness, organization, and service standards.
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What This Job Offers
Job Type
Full-time
Career Level
Senior
Education Level
No Education Listed
