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Compliance Consultant I, Retirement and Compliance

CUNA Mutual Group

in Remote

Job Description

Job Purpose:

This position is responsible for delivering high quality compliance services to CUNA Mutual Retirement Solutions (“CMRS”).  Services include research, analysis and training/education on compliance issues in order to meet our business objectives.  This role is also responsible for collaborating, educating and advising our business partners on risk identification and mitigation strategies.   

Job Responsibilities:

  • Proactively assess and monitor programs, processes and initiatives as they relate to ethics/compliance.  Actively identify risks to the business, products, work and associates.
  • Perform complex compliance reviews, enterprise assessments and policy/procedure reviews to ensure clarity, applicability and compliance with applicable law.
  • Provide technical analysis of existing and pending legislative activities.
  • Review service products, marketing materials and business processes for compliance.
  • Provides strategic direction in the preparation of regulatory filings and/or forms in order to meet business needs and comply with the substance and language requirements of regulatory authorities in all states.
  • Develop and implement training/education programs.
  • The above statement of duties is not intended to be all inclusive and other duties will be assigned from time to time.

Specific Job Responsibilities:

  • Collaborate with CMRS executive management to develop compliance strategies and maintain compliant products, policies, and operational procedures.
  • Address technical ERISA/IRC compliance issues and retirement plan industry trends impacting CMRS businesses
  • Consult on and influence the development and implementation of compliance solutions related to new product releases, product re-writes, entry into new markets or utilization of new distribution channels.
  • Provide daily compliance guidance for internal CMRS departments such as retirement administration, recordkeeping, pension risk transfer, executive benefits, and operational compliance.
  • Design and lead compliance projects addressing new legislation/guidance and current business risk mitigation
  • Partner with legal and compliance peers (e.g. contract, litigation, risk, governance, assurance, and privacy) to resolve all compliance concerns impacting CMRS. 
  • Support established Corporate Legal and Compliance strategies.
  • Work with business leaders across CUNA Mutual Group to solve complex business problems as they relate to retirement compliance.
  • Lead efforts to effectively respond to regulatory agency complaints, difficult objections and/or preparation of testimony by crafting persuasive arguments that will aid in gaining favorable regulatory approval or ruling for CMRS insurance products.
  • Develop and implement training/education programs to encourage understanding and application of ethical and compliant corporate and business specific standards.
  • Speak at conferences, webinars or panels on retirement compliance.
  • Lead and direct compliance communications.

Job Requirements:

  • Bachelor’s degree in Business, Insurance or related field or equivalent related experience.
  • 5+ years of experience in insurance, business or government regulations/compliance. 
  • Ability to perform technical research and analysis of laws and regulations and apply them to company operations, products and marketing.
  • Demonstrated organization and project management skills.
  • Ability to work with limited direction, set priorities and manage deadlines.
  • Ability to work in a team environment.

Additional Specific Job Requirements:

  • Specific experience in retirement plan compliance or in a retirement industry job requiring retirement plan technical expertise with an emphasis on defined contribution and defined benefit plans is strongly preferred.
  • Retirement industry professional designations preferred (i.e. QKA, QPA, CPC, ERPA, CRPS, CEBS).

How to Apply

To apply, please complete an application via the link. 

Apply Now

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