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Defined Contribution Document Ops Supervisor


in Denver CO

Job Description Summary

Responsible for supervising and mentoring a team of retirement plan compliance analysts, production coordinators and/or plan specialists. The team reviews and analyzes outside drafted and/or Transamerica plan documents and sets up the recordkeeping system with the appropriate plan provisions, pricing and/or financial information (e.g., investment funds). The team identifies and confirms that accrued benefits are protected, system issues are identified, plan documents are congruent with system set-up and appropriate parties are updated during the entire process. The team (i) drafts plan documents, amendments, Summary Plan Descriptions, Summary Material Modifications and funding documents for 401(a), 401(k), 403(b), 457 and/or nonqualified plans; (ii) prepares funding documents (e.g., group annuity contracts, required notices, service agreements), special deal documents, and Broker of Record changes; (iii) coordinates the ordering of Emerging Markets’ enrollment materials; (iv) establishes and maintains proactive working relationships with internal and external customers, such as financial advisors and third party administrators, to achieve strategic service goals and ensure quality standards are met; and (v) consuls with clients, advisors and client relationship staff on plan design.


  • Oversee and direct team activities to ensure assignments are accurate, on-time and in compliance with IRS and state/federal regulations.
  • Provide consulting support to team, as well as clients, financial advisors, regional sales offices and operations areas in matters affecting prototypes, volume submitter and individually designed plans, services and plan design.
  • Provide technical assistance to team and installation service managers on complex and non-routine installations.
  • Negotiate basic contract language with clients and their attorneys on the documents.
  • Collaborate with the manager to set team goals, identify training needs, coach/counsel, provide input on staff performance, and assist in the interview / hiring process, training and development.
  • Perform final review of complex documents, filing, correspondence, etc., on an as needed basis.
  • Identify root causes of problems and initiate measures to prevent issues and enhance the quality of service.
  • Facilitate resolution of issues related to internal / external customers and handle escalated issues in the absence of the manager.
  • Provide technical assistance to analysts and testing/recordkeeping managers on complex and non routine events.
  • Assist senior compliance analysts in negotiations with IRS regarding plan qualification issues, preparation of IRS corrective submission documents, etc.


  • Bachelor’s degree in a business-related field or equivalent experience.
  • Eight years of pension / retirement plan experience.
  • Experience with qualified defined contribution retirement plans. 
  • Ability to define, develop and draft product requirements and programming specifications.
  • Ability to analyze complex information and translate into written content and/or instructions.
  • Strong customer focus, communication and interpersonal skills to build relationships and convey plan design details.
  • Decision-making and problem-solving skills to resolve complex plan issues.
  • Analytical skills and attention to detail.
  • Results oriented in a time-sensitive work environment.
  • Proficiency using MS Office tools.

Preferred Qualifications

  • Knowledge of Transamerica Retirement Services Corporation (TRSC) current and legacy product offerings.
  • Experience drafting documents related to the establishment and maintenance of defined contribution plans (e.g., 401(a), 401(k), 403(b), 457, etc.).
  • Knowledge of State Department of Insurance regulations related to preparation of Group Annuity contracts.
  • Experience developing and drafting contractual documents, such as service and vendor agreements.
  • Experience in contracts, law, or compliance department providing qualified defined contribution plan investment and administrative services.
  • Industry designation (e.g., QPA, CPC, APA, FLMI, FSRI)
  • Team lead / supervisory experience.

Working Conditions

  • Office environment.

How to Apply

Apply online using this link:

This ad has been viewed 722 times. It expires on 1/14/2019.

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