Qualified Plan Operations and Compliance Manger

Banking & Financial Services
Job Location: 
Dallas, TX

Position Summary:

As a Qualified Plan Ops & Compliance Manager, you will be a critical part of the Business Success team in managing the compliance needs of our 401(k) plans. This ground floor opportunity will require a comprehensive knowledge of 401(k) rules and compliance, with a an understanding of how the IRS thinks about plan qualification and building processes to help clients meet DOL requirements. Assist helping clients meet their retirement readiness goals and work as part of a startup team that’s revolutionizing the industry.

Essential Responsibilities: 

Work closely with financial advisors to understand and explain to clients compliance testing results, plan design recommendations, and recordkeeping procedures
Review plan documents, provide design recommendations and draft pre-approved plan documents
Experience in gathering data, reviewing, and finalizing Form 5500 reporting.
Play an active role in plan conversions and onboarding of 401(k) plans for employers
Be an internal subject matter expert in 401(k) plan operations including IRS and DOL correction programs, audit support, and government reporting
Ensure timely delivery of materials to appropriate internal and external parties in order to meet client and auditor expectations
Ensure adherence to current procedures and controls, and make recommendations to improve existing procedures and to reduce risk
Be an internal voice for 401(k) processes to offer insights to Product, Design, and Engineering to help build a better product


Job Specifications

Education:  Bachelor’s Degree required

Position Knowledge/Experience:  A minimum of 5 years work experience in defined contribution plan administration including documents and compliance testing.

Skills and Abilities:

Experience using compliance software (e.g., ASC, Relius, Datair, FT William)
Industry credentials a plus (e.g., QKA, QPA)
Must be highly organized, self-starter with ability to handle multiple priorities at once
Adaptable and resourceful in a dynamic environment
Must have strong verbal and written communication skills
Superior judgment, professionalism, poise, ability to maintain the highest level of confidentiality
Must be intuitive able to anticipate needs and develop options
Demonstrated proficiency in Microsoft Outlook, Word, Power Point, and Excel

Recruiter Name: 
Byron Vargas
Recruiter Phone: 
(262) 886-8000 ext. 260

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