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3(16) Compliance Manager

401K Safe

(Remote / Albertville AL)

3(16) Compliance Manager
Albertville, AL or remote for exceptional candidates

Are you a people-focused leader who thrives on bringing clarity to complexity, developing others, and building repeatable systems that scale? Are you energized by coaching a team, ensuring excellence in daily execution, and making sure the engine of the business runs smoothly? If you nodded “yes” - read on, because we may have your next great opportunity.

We are seeking a 3(16) Compliance Manager to design, implement, and refine the internal compliance and customer service functions of our firm. As a key leadership role, this person will be responsible for managing, coaching, and supporting our staff to ensure consistent delivery of our processes, operational excellence, and exceptional internal and external experience. In addition, this person will build, implement, and improve standard operating procedures. This is a role for someone who values consistency, thrives on reliable process execution, and accomplishes great results by empowering a talented team to do their best work.

Why This Matters Now

We see enormous potential in this business. With that opportunity comes reality: there is a significant amount of work to be done to prepare us for scaling. Over the first 6–12 months, this role will focus on deeply understanding current workflows, addressing issues, creating clarity where there is ambiguity, and putting durable processes in place. This is not a “walk into a perfectly run machine” role, and that’s exactly why it’s exciting. As we scale from our current size, this person will be a foundational leadership hire with real influence over how our 3(16) services are delivered.

What Will You Do?

• Oversee execution of all 3(16) Compliance workflows - including data collection, plan documents, payroll and annual contributions, deferral changes, valuation preparation, government filings, distributions, notices, mailings, and internal tracking - ensuring consistency and accuracy
• Manage and mentor a team of Administrators, fostering their growth and performance in alignment with our company values
• Build, implement, and maintain internal documentation for procedures, checklists, and training resources. Continuously evaluate and improve operational processes
• Serve as a key point of escalation for resolving customer service issues, acting as the primary contact for both internal teams and external parties to ensure timely and effective resolutions
• Balance hands-on execution with leadership - knowing when to dive deep and when to step back and let the team run
• Monitor workload distribution, resource planning, and turnaround expectations across the team
• Partner with other department leads to ensure seamless collaboration and timely administration
• Support team hiring, onboarding, training, and performance development
• Lead with a proactive, solutions-focused mindset and ensure our team is living up to our service promise

What Do You Bring to Us?

Intangibles:

• You are hyper-focused on building process and structure to solve a problem, not addressing issues in a one-off manner
• You have a growth mindset and are willing to adapt as new challenges are thrown at you
• You have no problem getting in the weeds to fully understand a problem and troubleshoot, but can elevate yourself and build process and structure to ensure the problem does not recur.
• You are a problem-solver and systems-builder at heart
• You have a burning desire to provide exceptional customer service and know what matters most to plan sponsors, advisors, and recordkeepers
• You love empowering team members and training them to allow you to delegate and elevate up to your highest and best use

Background and experience:

• 7 - 10 years of experience in defined contribution 3(16) compliance work and/or plan administration
• Project management or operational leadership experience strongly preferred - even if it was unofficial.
• Experience training others or creating documentation/process guides.
• Knowledge of key 3(16) fiduciary responsibilities and duties
• Familiarity with industry tools such as PensionPro, plan recordkeeping systems, and plan document systems
• Clear communicator, strong follow-through, and highly organized.
• Comfortable handling sensitive information with professionalism and discretion.
• Bonus if you’ve worked on a merger or acquisition transition in a prior role.

What Can We Offer You?

• Opportunity to be a valued member of the leadership team at a highly ambitious 3(16) firm.
• Competitive base salary and bonus structure commensurate with experience and skills, with ample opportunities for career advancement.
• Employer-paid monthly premiums for health insurance, along with employee-paid options for dental, vision, and living benefits.
• Career and growth opportunities for team members looking to advance, with paid-for continuing education and conference attendance.
• Generous vacation and sick leave, starting with up to 16 days of paid time off in the first year and increasing with tenure.
• Paid Company holidays throughout the year.
• Non-elective 401k plan.
• Continuity of employment, as we are committed to remaining independent and not being sold.

What Success Looks Like:

• In your first 90 days, you will have developed a deep understanding of our current workflows, identified priority operational gaps, and begun prioritizing fixes.
• By 6 months, you will have reduced recurring issues, clarified roles and responsibilities, and implemented improved documentation and controls.
• Long-term, you will be a trusted leader helping scale a best-in-class 3(16) platform.

Where Will You Work?

• We prefer our team members to be located near our office location or open to commuting/traveling there for training and special events. However, the position is open to exceptional remote candidates.

At 401K Safe, we recognize that our team members are our greatest asset, and we are dedicated to empowering you through professional development and a healthy work-life balance. We celebrate your success and are actively expanding internal growth opportunities, allowing you to build a rewarding career with us.

If you are excited about this role and ready to join us, we invite you to apply through our link below.

How to Apply

Apply Now

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