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Director of Regulatory Operations and Compliance

PCS Retirement

(PA / Hybrid)

Job Summary

The Director of Regulatory Operations and Compliance will lead the operational execution of client fulfillment processes—including the production and delivery of regulatory notices and client statements—while ensuring compliance with all applicable regulations. The role will also be responsible for controls and governance relating to 3(16) fiduciary administrative services and Pooled Plan Provider (PPP) services. This role requires a hands-on leader who can translate regulatory requirements into practical workflows, partner with internal subject matter experts and legal counsel, and drive operational excellence across the organization.

Job Responsibilities

Operational Leadership

• Oversee day-to-day fulfillment operations, including regulatory communications and statement generation, printing, mail receiving and processing, forms and distribution, ensuring accuracy and timeliness.
• Develop and implement operational workflows that align with regulatory requirements and client expectations.
• Continuously assess and improve processes for efficiency, scalability, and risk mitigation.
• Manage relationships with third-party vendors involved in fulfillment, printing, mailing, and statement distribution to ensure service quality and compliance.
• Monitor vendor performance through KPIs, audits, and regular reviews; implement      corrective actions when necessary.

Regulatory Compliance Execution

• Understand new and existing complex regulations and partner with internal legal and compliance teams to operationalize requirements.
• Serve as the main point of contact for the controls and governance relating to 3(16) fiduciary administrative services and Pooled Plan Provider (PPP) services and periodically assess the efficacy of the operational teams supporting these services.
• Ensure fulfillment and statement processes adhere to DOL, IRS, and other applicable legal and regulatory standards.
• Maintain compliance documentation and support audits with accurate operational evidence.
• Stay ahead of industry trends and proactively recommend process enhancements to maintain compliance and efficiency.

Cross-Functional Collaboration

• Work closely with Legal, Risk, IT, Client Services, and Trust Company representatives to ensure integrated compliance strategies.
• Serve as the operational liaison during regulatory reviews and client inquiries.
• Partner with IT to identify and implement automation tools for fulfillment and compliance workflows.
• Translate legal guidance into actionable steps for fulfillment and statement teams.

Risk, Control and Governance Management

• Identify operational compliance risks and implement preventive controls.
• Lead internal reviews and corrective action plans to address gaps.
• Establish KPIs and dashboards to monitor compliance adherence to operational and regulatory activities.

Team Leadership

• Manage and develop a team of fulfillment and control and governance professionals.
• Foster a culture of accountability, continuous improvement, and regulatory awareness.

Requirements

• Bachelor’s degree in Business, Operations, Compliance, or related field (Master’s preferred).
• 10+ years of experience in fulfillment operations and regulatory compliance, preferably in financial services or recordkeeping.
• Strong knowledge of IRS, DOL, and other relevant regulations.
• Proven ability to operationalize compliance requirements and lead cross-functional initiatives.
• Excellent communication skills for partnering with legal counsel and internal SMEs.
• Strong analytical and problem-solving skills with a focus on process improvement.

How to Apply

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