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Sr. Document Compliance Consultant


in Charlotte, NC / Denver, CO / Telecommute

Company Overview:
Since 1918, it has been TIAA’s mission to serve, our ability to perform and the values we embrace that make us a different kind of financial services organization. We’re dedicated to serving the financial needs of those in the academic, medical, cultural, governmental and research fields, and committed to helping make lifetime financial well-being possible for them.

By building a culture that allows all employees to contribute their unique talents and skills, we’re able to provide our customers with fresh ideas and distinct perspectives to help them achieve their goals. We believe a diverse and inclusive workforce is one of our greatest strengths and a key measure of our success.

Job Summary:

Sr. Document Compliance Consultant
Charlotte, NC or Denver, CO or Potential Work From Home
Job ID: 1708674
Category: Operations

To assist our plan sponsors with their fiduciary responsibility to administer their plan in alignment with the legal plan document, the Senior Plan Document Consultant reviews individually designed plan documents for alignment with our recordkeeping system, products and procedures. This role is responsible for independently reviewing individually designed plan documents, capturing and interpreting the plan provisions, and working with internal business partners and our clients to influence the best strategy to resolve complex operational and regulatory compliance issues relating to defined contribution retirement plans. These plans are more complex in nature and represent our most influential and highest AUM clients. The position requires an expert level understanding of retirement plan regulations, specifically related to 403(b) plans (and to a lesser extent, other defined contribution and deferred compensation plans), and strong consultative skills to influence business partners and clients to adopt standard practices.

Key Responsibilities:
The primary focus of the Senior Document Compliance Consultant is to review plan documents and provide policy and compliance analysis and recommendations including comparison of record-keeping ability versus the legal plan documents submitted by clients or used by TIAA.

The incumbent communicates findings to internal business partners, clients and client’s attorneys as required. Discusses implications and offers alternative courses of action that client may take. Prepares for and participates in client related meetings, both internal and external.  Serves as a subject matter expert for team members providing training, mentoring, and quality control for plan document reviews.

The position may also involve opportunities to develop and assist in the implementation of initiatives on process / workflow improvement and program/policy changes; drafting and updating TIAA specimen or pre-approved plan documents, including required regulatory filings; providing legal communications and correspondence on highly complex topics; participating in new business proposals review and response; developing and modifying approaches for high volume legal reviews of client documents; and, participating in project teams for new products and services providing analysis of impact to plan documents. Conducts internal training as needed.


Required Qualifications:

  • JD or advanced degree required
  • 10+ years of plan document / compliance experience required (5+ years with a law degree)

Preferred Qualifications (Highly Preferred):

  • Excellent written and verbal communication skills
  • Strong attention to details.
  • Ability to work independently as well as develop strong relationships and collaborate with internal business partners, including senior leadership.
  • Knowledge of the laws and regulations affecting plan design and plan documents, including but not limited to ERISA, GUST, and EGTRRA
  • Knowledge of 403(b) plans highly preferred.
  • Knowledge of defined contribution and deferred compensation retirement plans, laws and regulatory requirements highly preferred.

Equal Employment Opportunity is not just the law, it’s our commitment. Read more about the Equal Employment Opportunity Law.

If you need assistance applying due to being visually or hearing impaired, please email Careers Help.

We are an Equal Opportunity/Affirmative Action Employer. We will consider all qualified applicants for employment regardless of age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other legally protected status.

How to Apply

Please apply directly to our TIAA Careers website using this link:

Visit our web site.

This ad has been viewed 930 times. It expires on 7/9/2017.

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