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Director of Compliance and 5500 Services

LT Trust Company

in Denver CO

About LT Trust

LT Trust is a privately held, rapidly growing 401(k) recordkeeping and administration firm headquartered in Denver, Colorado with a satellite office in Metairie, LA. We offer a true open architecture 401(k) platform that gives advisors and plan sponsors the ability to choose the best of breed investments from any fund family.

In response an influx of new business, LT Trust is looking to expand our team by hiring talented individuals that can help grow sales and provide marketing support to our existing clients.  


Our employees receive a comprehensive package of benefits. Some of the highlights include:

  • Market competitive salaries
  • Eight paid holidays and 25 PTO days annually
  • Comprehensive medical and dental insurance plans
  • 401(k) plan with 3% Non-Elective Safe Harbor Contribution
  • Business casual dress
  • A fun, hard-working atmosphere
  • Opportunities for career advancement

Job Summary


  • Responsible of all assigned compliance / 5500 work-flow activities, functions and service deliverables.
  • Ensures deliverables are in accordance with ERISA / DOL / IRS regulatory guidelines and or requirements.
  • Oversees, coordinates and ensures all “work product” activities, functions and deliverables meet and or exceeds all SLA’s and regulatory deadline requirements.
  • Ensures all inbound email / phone activity and service coverages are properly and timely addressed and supported with appropriate staffing levels during normal business hours.
  • Accountable for the accurate and timely delivery of Annual Notices and or Disclosures (i.e. Safe-Harbor, Fee Disclosures etc.).
  • Responsible for developing and reporting the department's service performance, tracking workflow activities and reporting such metrics to Senior Leadership.
  • Responsible for and assisting in staff training (New Hires, continuing education) while developing and deploying new / existing resources to achieve optimum performance resources and individual growth.
  • Facilitate and or guide staff in the timely resolution of client / advisor escalated related compliance / 5500 issues and or concerns. Demonstrate the ability to proactive bring such issues to their timely resolution.
  • Encourage, support and or elevate team performance while effectively managing team issues, absences and special requests.
  • Work with Senior Leadership in reviewing, modifying and or crafting Compliance / 5500 processing procedures, workflows and protocols to maximize service efficiencies through technology.
  • Oversee the quality, accuracy and on-time delivery of service deliverables (i.e. Annual Compliance results, ER Calculations and 5500 Reporting).
  • Participate in the ongoing departmental development / implementation initiatives, policies and procedures assessments and recommendations.
  • Remain current on industry regulations and their applications.
  • Participate in cross-functional projects.
  • Any “other duties” as assigned

People Oversight Duties:

  • Effectively manage team performance and productivity goals while mentoring and “coaching up” employee / team performance.
  • Monitor workloads while effectively managing time off requests (PTO).
  • Conducts semi-monthly team meetings in coordination with Senior Leadership expectations.
  • Identifies areas of growth / service improvements for the team and its members while proactively soliciting cross-functional feedback (Peer, Advisor, Other etc.).
  • Conduct begin-of-day (BOD) team huddles setting the day’s tone and service expectations.
  • Attend Senor Leadership meetings (as needed).
  • Communicate / enforce corporate/department goals and servicing expectations with team members.
  • Works closely with Senior Leadership on recruiting, mentoring and counseling of employees while making appreciate recommendations for advancement or termination.
  • Develop meaningful and relevant performance objectives for the team and its members.
  • Perform “Annual Employee Performance Reviews” delivering employee reviews in accordance with corporate policies.

Qualifications Required

  • Bachelor's degree or an equivalent combination of education and 15 years relevant experience.
  • Minimum of 10 years of 401(k) / defined contribution plan recordkeeping experience
  • Minimum of 5 years management experience
  • Professional certification required or in progress: ASPPA (QKA, QPA), CEBS or NIPA (APA) (APR).
  • Demonstrated experience handling relationships with participants, advisors, Plan Sponsors, or TPAs.
  • Knowledge of ERISA Regulations and the applicable Internal Revenue Code is required
  • SunGard Relius Administration experience preferred
  • Compliance testing and contribution calculation experience required
  • Advanced knowledge of Microsoft Excel and Outlook and basic knowledge of Power Point is required
  • Must have strong written and verbal communication skills
  • Capable to relate the customer needs to other team members and leadership

How to Apply

Email Resume to

This ad has been viewed 795 times. It expires on 11/18/2018.

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