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Manager of Plan Compliance


in Telecommute / West Harrison NY


Reports to:               Director of TPA Operations

Job Summary:       Responsible for setting compliance quality control standards

Essential Functions:

  • Oversee and maintain the overall compliance administration standards
  • Perform Quality Control reviews of plan valuations, contribution calculations and compliance testing on DC plans
  • Maintain system of Quality Control Results – provide feedback on
    • Areas where overall compliance training is needed
    • Areas where processes/procedures need modifications
    • Individual training needs
    • Quality Control methods, capacity and turnaround times
  • Provides assistance to Account Managers on plan compliance issues
  • Escalate to Legal Team in NY when necessary to provide resolution on issues
  • Provide compliance training to Account Managers
  • Performs other duties and responsibilities as assigned by Management


  • Maintains the highest level of regulatory knowledge and understanding of plan document provisions.
  • Strong time management skills.
  • Ability to prioritize workflow and ensure duties are completed by IRS and DOL deadlines in addition to internal deadlines set
  • Good communication skills and able to interact with internal staff.
  • Able to work well under stress created by time deadlines, workflow volume changes and fast paced work environment.
  • Ability to recommend process improvements to increase efficiency
  • Commitment to teamwork and professional development
  • Proficient in Microsoft office with strong excel skills
  • Working knowledge of Relius
  • Minimum 8 years of retirement plan compliance experience
  • ASPPA designation preferred
  • College degree in a Math, Accounting, or Finance discipline preferred

How to Apply

Send resume with salary requirements to:

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