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Sr 5500 & Notices Manager

401k Generation

(Altamonte Springs FL / Hybrid)

401K Generation is a Registered Investment Advisory firm providing financial and fiduciary services to employer sponsored 401(k) plans and private wealth management services to individuals.  As a 3(16) Plan Fiduciary, we manage the day-to-day administrative tasks for 401(k) plans nationwide. We are committed to helping individuals prepare for their financial future and relieving businesses across America of the administrative burdens of a 401(k) plan. We hold ourselves accountable and pride ourselves on delivering uncomplicated and innovative retirement plan solutions. This dynamic, fast-growth company is seeking a Sr. Manager, 5500 and Notices to join our team and grow with us.

Job Title, Sr. Manager, 5500 and Notices

Report to: Director, 3(16) Services

Status:  Full Time/Exempt

Position Summary:

The Sr. Manager, 5500 and Notices is accountable for the accuracy, completeness, quality, and timely filing of Form 5500 and related schedules and the distribution of required notices and disclosures. This leader owns end-to-end execution, including quality review, clear assignment of work, early escalation of data gaps and risks, and compliance with DOL and IRS deadlines. The position also oversees timely uploading of client information and contributions for nonpayroll clients and assigned special projects. Success requires sound judgment, communication, follow-through, and measurable team performance. The Sr. Manager coaches staff, manages escalations, and reinforces a culture of ownership, error prevention, service excellence, and continuous improvement.

Job Description:

• Promote and adhere to the company’s core values; Accountability, Communication, Commitment, Service Excellence, Integrity, and Collaboration
• Leadership/Management Responsibilities:
• Abide by the 401k Generation Leadership Pledge to Inspire, Empower, Support, Be Honest, Hold Myself Accountable, Be Respectful, Actively Listen, Coach and Mentor, Communicate, and Lead by Example.
• Train, coach, mentor and inspire team to achieve company goals in a results-oriented environment.
• Manage staffing through appropriate recruiting, hiring, corrective action, performance management and termination as required.
• Direct workflow of staff in delegation, assignment and follow-up required for efficient performance of the team ensuring regulatory deadlines are met.
• Track various productivity, quality, and performance standards including those stated in SMART goals and analyze results to ensure that established levels are achieved. This includes call quality and case review.
• Create and maintain open and positive communication channels with all superiors, employees, peers, and customers as appropriate.
• Make financially responsible decisions to ensure the cost-effective use of all resources throughout the organization including people, time, systems, processes, materials, equipment, and facilities.
• Actively promote communication, collaboration, and teamwork across all departments, teams, and functions for the achievement of common goals and objectives.
• Understand and consistently enforce established policies and procedures.
• Monitor performance of the team Manage workflow of staff in delegation, assignment and follow-up required for efficiency for all tasks performed by Operations Support Team.
• Update and maintain internal and external communication and Standard Operational Procedures (SOP), and templates.
• Approve timecards and manage PTO requests to ensure adequate coverage.
• Evaluate overall performance by gathering, analyzing, and interpreting data and metrics.
• Ensure each client inquiry is acknowledged within 24 hours, with clear ownership, timely follow-up, and documented resolution of open issues.
• Serve as a subject matter expert, exercise sound judgment, and support the team in consistently meeting established Key Performance Indicators (KPIs) for quality, accuracy, timeliness, and client service
• Provide training and support to team during annual client audits.
• Provide guidance related to the day-to-day operation of a retirement plan.
• Ensure assignments have clear owners and due dates; review pending work, resolve barriers, and follow through until each task is accurately completed.
• Perform personnel actions of assigned team (recruiting, timecard and PTO approval, corrective action, performance management/reviews).
• Upload reports in a timely manner, validate information for completeness and accuracy, and monitor work allocation so staff can meet service and regulatory commitments.
• Track various productivity quality and performance standards and analyze results to ensure that established levels are achieved.
• Conduct regular case and call-quality reviews, document identified issues, provide specific coaching, and track corrective actions through verified resolution.
• Identify, investigate, and resolve internal and external escalations promptly; communicate status, determine root causes, take corrective action, and confirm closure.
• Lead by example through consistent adherence to company policies, accurate work, transparent communication, and personal accountability for outcomes
• Remain accessible to the team to answer questions, provide timely decisions, and deliver real-time feedback on quality and performance.
• Document client encounters, decisions, follow-up actions, and resolutions clearly, accurately, and promptly in the CRM.
• Assist participants with 401(k) plan inquiries.
• Collaborate with Client Support and other departments to deliver thorough, accurate, and timely resolutions, with clear accountability for handoffs and outstanding items.
• Produce clear, accurate, consistent, and professional communications; review critical client-facing materials for completeness and appropriate content.
• Continually maintain knowledge of all company services.
• Maintain and ensure confidentiality of plan and participant information. Prioritize regulatory deadlines, quality reviews, escalations, and client needs; anticipate workload challenges and proactively communicate capacity or delivery risks.
• Consistently meet or exceed established quality, accuracy, productivity, timeliness, and service metrics while owning individual and team results.

Job Qualifications:

• Bachelor’s degree in finance or business, or equivalent work experience
• Minimum seven years’ previous customer service experience required
• Minimum of two years’ experience as a supervisor or manager required
• Minimum of three year’s prior experience in the retirement plan industry with a focus in Defined Contribution Plans required
• QKA Certification preferred or ability to obtain within one year required
• Advanced Excel skills, proficiency with Word and Outlook required. Salesforce experience a plus
• Demonstrated ability to deliver accurate work, collaborate effectively, resolve problems, and meet deadlines under competing priorities and frequent interruptions.
• Effective leadership, performance coaching, and motivation skills, including the ability to set expectations and hold team members accountable for results.
• Able to take direction and quickly learn new procedures, processes, and products
• Open to feedback, continuous improvement, and consistent follow-through on individual and department goals
• Strong team building skills and the ability to train and mentor other team members
• Advanced problem-solving skills
• Exceptional attention to detail, sound judgment, and the ability to identify and correct errors before they affect clients or regulatory deliverables
• Ability to work independently and also be part of a team environment
• Able to reliably meet a required flexible/variable hour work schedule based on business needs and adhere to company attendance policy
• Flexibility to work extra hours are required based on business needs
• High school diploma or equivalent required
• Must be at least 18 years of age
• Must be authorized to work in the US
• Excellent verbal and written communication skills
• Ability to produce grammatically correct written correspondence
• Must be able to pass a criminal background check

How to Apply

Email Resume to: careers@401kgeneration.com

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