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Lead Regulatory Support Consultant


in NY


Lead Regulatory Support Consultant - R20022535

Ensures compliance with statutory and regulatory guidelines for ERISA, Internal Revenue Code and other guidance requirements for Section 403(b) plans and 457 plans. Works with clients, client’s counsel, consultants, agents, brokers and TPAs to identify and resolve plan compliance and fiduciary issues (e.g. qualification defects addressed under the IRS’ EPCRS and DOL VFCP programs). Propose and implement best practices for ERISA and non-ERISA compliance plan administration. Advises internal administration teams about impact of new developments and supports the development of new products, services and processes. Provides proactive risk management and contributes to the ongoing training of staff on retirement plan regulatory matters.

** Will consider applicants from other locations for possible remote work based on qualifications.


  • Research and analyze regulatory guidance from the IRS, DOL, SEC and other applicable agencies, along with new retirement plan legislation.
  • Review and prepare plan analysis for new and existing clients, including issue identification, consulting on issue resolutions, best practices and preparation of client communications, plan forms, and participant communications.
  • Provide regulatory consulting services to select clients, including drafting regulatory communications for clients meetings that are tailored to the client’s needs in all aspects of retirement plan administration.
  • Provide regulatory consulting services to Regional Offices (Client Executives and Sales staff), operational areas and the Transamerica management team.  Draft regulatory in-house communications and represent the Regulatory Support group on projects and internal meetings, such as support for Plan Services, plan consultants, Compliance Testing, Reporting/Disclosure Unit, Retirement Consulting group and Client Integration team.
  • Provide plan design support and assistance related to Transamerica’s volume submitter and individually designed plan documents (for 457 plans), both internally and externally.
  • Provide primary consulting and coordination role for IRS EPCRS voluntary compliance submissions for clients and their counsel; interact with the IRS as necessary.
  • Provide assistance and mentoring to the Regulatory Support group and participate in formulation of department strategy.
  • Represent the Regulatory Support group in new product development.
  • Identify, develop and deliver regulatory training programs for Transamerica employees.
  • Maintain a high level awareness of ongoing developments in the retirement plan industry.
  • Represent the Regulatory Support group in special projects and tasks forces.
  • Provide regulatory risk management internally and externally.


  • Bachelor’s degree in a business-related field or equivalent experience in the retirement industry.
  • Ten years of retirement industry experience in legal, compliance or a similar setting.
  • Expert knowledge of legal requirements for section 403(b) plans and Section 457 plans,
  • Experience and ability to work with client senior human resources, benefits representatives, and senor level management.
  • Ability to independently research, analyze and interpret IRS and DOL regulations and retirement plan legislation.
  • Advanced communication skills (verbal, written, listening) with the ability to influence others and convey complex, regulatory legal rules and requirements in layman terms.
  • Problem resolution skills, with an emphasis on analysis, formulation and documentation of recommendations; ability to develop alternative solutions to complex situations.
  • Organization/time management skills to handle multiple projects simultaneously.
  • Project management experience.
  • Leadership and team building skills to contribute to the success of department goals and objectives.

Preferred Qualifications

  • Retirement plan certification (e.g. ASPPA, CPC, ERPA, CEBS).

Working Conditions

  • Office environment.

How to Apply

Please apply online using this link.

This ad has been viewed 417 times. It expires on 8/24/2019.

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