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Head of Retirement Compliance Operations

Ascensus

(Dresher PA / Hybrid)

The Head of Retirement Compliance Operations leads our retirement compliance efforts and ensures adherence to regulatory requirements for Ascensus clients.. This role is critical in shaping our compliance strategy, fostering a culture of integrity, and managing risks associated with operations across the organization.   

Responsibilities:

• Oversee the compliance operations team, providing guidance and support to ensure effective and complete service to clients and internal stakeholders 
• Execute on the compliance strategy aligned with the company’s goals and regulatory landscape; review and adjust as needed annually to ensure strategy is current and aligned with regulatory guidelines and organizational goals/direction.   
• Monitor changes in relevant laws and regulations, ensuring the organization remains compliant with all applicable requirements. 
• Identify and assess compliance risks, establishing policies and procedures to mitigate them effectively. 
• Lead training initiatives to promote compliance awareness and educate associates on relevant policies and regulations. 
• Work closely with senior leadership and cross-functional teams to integrate compliance into business processes and report out on issues impacting client confidence and Ascensus’ requirements. 
• Drive continuous improvement initiatives within compliance operations, leveraging data and feedback to enhance processes. 
• Responsible for protecting, securing, and proper handling of all confidential data held by Ascensus to ensure against unauthorized access, improper transmission, and/or unapproved disclosure of information that could result in harm to Ascensus or our clients 
• Core Values of People Matter, Quality First and Integrity Always® are visible in actions on a day-to-day basis showing support of our organizational culture 

Supervision   

• Develop leaders through formal and informal coaching in leading teams, developing constructive working relationships, developing knowledge in the leadership and compliance areas, building business acumen etc. 

Requirements :

• Bachelor’s degree in business administration, Finance, or compliance in retirement industry;  experience with financial products such as MEP/PEP, 3(16) preferred 
• 10+ years of experience in compliance in the retirement industry or a related field, with at least 5 years in a leadership role. 
• In-depth knowledge of regulatory frameworks and compliance best practices relevant to the retirement industry. 
• Proven track record of developing and implementing successful compliance programs. 
• Strong analytical and problem-solving skills, with the ability to assess complex regulatory issues. 
• Excellent communication and interpersonal skills, capable of building relationships across all levels of the organization. 
• High level of integrity and ethical judgment, with a commitment to fostering a culture of collaboration and client service 
• Proficiency in compliance management software and data analysis tools.  

Be aware of employment fraud. All email communications from Ascensus or its hiring managers originate from @ascensus.com or @futureplan.com email addresses. We will never ask you for payment or require you to purchase any equipment. If you are suspicious or unsure about validity of a job posting, we strongly encourage you to apply directly through our website.

For all virtual remote positions, in order to ensure associates can effectively perform their job duties with no distractions, we require an uninterrupted virtual work space and there is also an expectation of family care being in place during business hours. Additionally, there is an internet work speed requirement of 25 MBps or better for individual use. If more than one person is utilizing the same internet connection in the same household or building, then a stronger connection is required. If you are unsure of your internet speed, please check with your service provider. Note: For call center roles specifically, it is a requirement to either hardwire your equipment directly to the internet router or ensure your workstation is in close proximity to the router. Please ensure that you are able to meet these expectations before applying.

At Ascensus, we aspire to make a difference for others. We are a technology-enabled services company that helps people save for a better future through our network of institutional, financial advisor, and state partners. Our culture is guided by sound principles, is committed to high standards, operates with transparency, and welcomes diversity—housed within our Core Values: People Matter. Quality First. Integrity Always.®

Ascensus provides equal employment opportunities to all associates and applicants for employment without regard to ancestry, race, color, religion, sex, (including pregnancy, childbirth, breastfeeding and/or related medical conditions), gender, gender identity, gender expression, national origin, age, physical or mental disability, medical condition (including cancer and genetic characteristics), marital status, military or veteran status, genetic information, sexual orientation, criminal conviction record or any other protected category in accordance with applicable federal, state, or local laws (“Protected Status”).

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