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Plan Compliance Consultant

T. Rowe Price

in CO / MD


To ensure the best interests of Retirement Plan Services clients and in accordance with plan documents and legal requirements, the Plan Compliance Consultant consults with small market clients and associates on how best to attain plan objectives while maintaining the plans’ qualified status, reviews plan documents, and helps clients resolve medium to low complexity operational and regulatory compliance issues relating to qualified and nonqualified plans.  The incumbent, occasionally in conjunction with the Sr. Plan Compliance Consultant, analyzes and interprets new laws and regulations to determine impacts on RPS plans and holds discussions with RPS clients to influence the best strategy to implement changes for clients and impacted internal partners. The incumbent will be responsible for delivering consultative services across their client base.


  • Continually educates self to increase regulatory knowledge and understanding of industry trends.  Analyzes impact of new regulations and legislation on client needs and RPS services and develops a strategy to influence client decisions to align with best practices.  Educates clients and RPS associates regarding legislative and regulatory developments.  Conducts Internal training as needed.
  • Researches and resolves complex operational and regulatory compliance issues arising from both client questions and from internal activities, using available electronic and hardcopy resources.  When applicable, conducts an analysis of options available under the Employee Plans Compliance Resolution System if there has been an operational error discovered on the plan.  Communicates findings to client, internal parties, and client’s attorneys and other advisors.  Discusses implications and offers alternative courses of action that client may take.  Prepares for and participates in client related meetings, both internal and external.  Analyzes and discusses legal implications of test results with client and internal parties. Provides strategic alternatives for correction of failed tests, and presents options to improve future nondiscrimination test results.
  • Evaluates plan documents and administrative forms for compliance issues, internal recordkeeping problems or client concerns.  Coincident with implementation of new plans, provides suggestions for plan design and/or administrative enhancements to influence client in using best practices while meeting client objectives.  Coincident with corporate mergers and acquisitions, provides comparative analysis of plan provisions and protected benefits.  Reviews plan design on an ongoing basis to ensure that the client’s objectives continue to be met in view of rapidly changing legislation and regulatory guidance and changes in the workforce.  Participates in the RPS sales process.
  • Serves as a subject matter expert on RPS cross functional taskforces and committees.  Conducts internal training as needed.  Responds to internal and external inquiries sent to the compliance services email box. 



  • Excellent written and verbal communications skills
  • Qualified 401(k) Administrator (QKA) designation from the American Society of Pension Professional and Actuaries (ASPPA) or equivalent professional designation
  • Broad knowledge of plan documentation and plan testing concepts and practices for 401k, profit sharing,  403(b), ESOP, Puerto Rico and 457 plans.
  • Knowledge of the laws and regulations affecting plan design and plan documents, including but not limited to ERISA, TRA 86 & 97, SBJPA / GUST and EGTRRA.
  • College degree and 1 years of related work experience, or Associate degree and 3 years related work experience, or High School diploma / equivalent and 5 years related work experience


  • Bachelor’s degree with at least 5 years of experience in compliance, legal, or investment related field  

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This ad has been viewed 475 times. It expires on 3/9/2018.

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