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Compliance Analyst

Smart Retire USA

in Nashville TN

Logo for Smart Retire USA

Job profile

Smart USA Co. is looking to hire a Compliance Analyst to join our Nashville, TN team. Reporting to the US Head of Compliance, you will be working collaboratively with the US and UK teams and assist in the development and delivery of compliant retirement services and solutions in the US ensuring our digital retirement recordkeeping platform is compliant for both workplace defined contribution plans and retail retirement accounts (401(k)s, IRAs, MEPs, PEPs, and Groups of Plans).  

About you

The successful candidate will be a self-starter, who is risk-disciplined and familiar with US retirement structures and their regulatory requirements, including ERISA, FINRA, IRS, and DOL, as well as being one who is comfortable working in a fast-paced environment with a real focus on delivery.  Strong stakeholder management is essential in this role, with multiple internal and external stakeholders to navigate.

Clear, open and articulate communication is another must-have, as you navigate across multiple time zones and competing internal and external priorities.

Main Responsibilities

  • Create and maintain policies and procedures for the organization to ensure  compliance with US regulations to minimize regulatory risk.
  • Research complex compliance issues and recommend actions to ensure compliance with applicable regulatory guidelines based upon review and analysis of relevant factors, data, policies and information.
  • Review notifications, marketing and third-party distribution material to plan sponsors, employers, participants, and advisors.
  • Assist with administration of retirement platform training programs, ERISA , IRS and DOL rules and regulations, and reporting procedures.
  • Assist with developing and conducting compliance training for staff, including any necessary retirement platform compliance training.
  • Suggest changes to business rules, policies, and processes to provide a more effective compliance environment.
  • Remain current on all regulatory changes affecting the US retirement business, interpret the impact on potential changes and assist in implementing ongoing changes to ensure compliance.

Requirements

  • In-depth knowledge of ERISA, DOL and IRS regulations. The desired candidate knows why the regulations exist, what the impact of not following the regulations represents, and how to comply with the regulations.
  • 5-8 years of experience in the retirement plan industry working with various types of retirement plans and plan complexities.
  • Industry designations (ASPPA/NIPA/ERPA) preferred.
  • Experience assessing the effectiveness of policies and procedures, including in areas of AML, KYC, fraud, data privacy, cybersecurity, PII, records management, and complaint tracking.
  • Strong organizational and problem solving skills with the ability to prioritize and track multiple tasks and issues.
  • Ability to communicate difficult concepts effectively at all levels internally and externally verbally and in writing.
  • Solutions-driven mindset.
  • Professional and accountable.
  • Strong interpersonal, networking and influencing skills.
  • Creative problem solver with strong analytical and decision-making skills.
  • Tirelessly passionate about technology and retirement.

Benefits

  • Health Insurance (via Aetna) including Dental and Vision.
  • Life, Short & Long Term Disability Insurance.
  • $500 personal training budget to spend on books, courses, conferences or training materials to help you develop.
  • 5 week sabbatical after 5 years.
  • 15 days vacation per year plus 1 extra day vacation day after 2 years and then every year up to a max of 20 days vacation.  10 holidays. 10 days sick per year.
  • 401(k) Plan with company match.
  • Enhanced parental leave.

If this sounds like you, we’d love to hear from you.

´╗┐Smart USA Co. is an equal opportunity employer valuing diversity in people and ideas.

How to Apply

Apply Now


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