Retirement Compliance Consultant

Description

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? ow 

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 identi? ed 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. 

Essential Functions 

• 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 work? ows, 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 eUorts. 
• 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, work?ows, and best practices. 
• Support training and mentoring eUorts for Compliance Associates and other operational staff. 
• Maintain strong working knowledge of ERISA, IRS, and DOL regulations and industry developments impacting quali?ed retirement plans. 
• Manage a high-volume caseload while maintaining strong responsiveness, organization, and service standards. 

Requirements

•  5+ years of retirement plan administration, compliance consulting, or TPA experience required. 
• Strong working knowledge of ERISA, IRS, and DOL regulations related to quali? ed retirement plans. 
• Demonstrated expertise in retirement plan compliance operations, including nondiscrimination testing, Form 5500 ? lings, audits, plan corrections, and plan design concepts. 
• Strong consultative and relationship-management skills with the ability to communicate complex compliance matters clearly and con? dently. 
• Proven ability to manage a large client caseload while balancing competing priorities and deadlines. 
• Experience coordinating and overseeing work? ow 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. 
• ASPPA designations such as APA, APR, QKA, QKC, or equivalent preferred (or willingness to obtain). 
• Minimal travel may be required.