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Retirement Plan Compliance Counsel


in Philadelphia PA

Overview: A rapidly growing Center City, Philadelphia financial services firm has an immediate opening for Legal Counsel to join a growing Compliance Department.  The firm is one of the 100 fastest growing companies in the Philadelphia Region and seeks a qualified candidate to assist with all legal and compliance issues related to retirement plans and investments. 


  • Work under the direction of the CEO, CFO and General Counsel on legal matters
  • Manage and maintain service agreements with our customers and vendors
  • Respond to subpoenas, privacy inquiries/requests and other confidential requests
  • Serve as internal legal resource for our staff
  • Serve as legal liaison with our partner firms and customers
  • Prepare self-corrections and submissions to the DOL & IRS for employee benefit issues
  • Represent clients before IRS and DOL with regard to employee benefits matters
  • Create process and service enhancements for third-party administration and recordkeeping services

Knowledge & Experience

  • J.D.
  • DOL & IRS background is a plus
  • Financial services background is a plus
  • Retirement plan recordkeeping software experience is a plus
  • Strong attention to detail
  • Ability to meet deadlines and work in a fast-paced, team environment with shifting priorities
  • Excellent client service / communication skills
  • Microsoft Office skills

Personal Attributes

  • Able to exercise independent judgement and take action on it
  • Excellent analytical and creative problem-solving skills
  • Excellent listening, interpersonal, written, and oral communication skills
  • Logical and efficient, with keen attention to detail
  • Highly self-motivated
  • Ability to effectively prioritize and execute tasks while under pressure
  • Strong customer service orientation
  • Experience working in a fast-paced, team-oriented and collaborative environment

How to Apply

Apply online using this link.

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