Compliance Analyst

Overview

This role supports retirement plan compliance projects by assisting with audits, regulatory filings, compliance testing, correction initiatives, plan document reviews, and plan analysis. The goal is to help ensure retirement plans are administered in accordance with applicable IRS, Department of Labor, and ERISA requirements while maintaining high standards of accuracy, documentation, and client service.

Responsibilities

Compliance Administration & Technical Support

• Complete compliance projects for qualified defined contribution (DC) and defined benefit (DB) retirement plans.
• Support audits, plan corrections, compliance testing, plan document reviews, Form 5500 preparation, and plan merger review and analysis.
• Research and respond to compliance helpdesk inquiries and other technical questions from internal teams, escalating complex or uncertain matters as appropriate.

Plan Document & Regulatory Review

• Assist with review and quality control of plan documents for new business, amendments, restatements, and other assigned document projects, as needed.
• Review plan provisions, participant data, administrative records, and regulatory guidance to identify issues and support accurate compliance conclusions.
• Assist with quality control and validation of compliance-related deliverables.

Research & Regulatory Monitoring

• Maintain a detailed working understanding of the rules applicable to the types of retirement plans administered and consulted on.
• Research new legislation, regulations, and industry developments affecting retirement plans.
• Assist with communicating regulatory changes and associated business impacts to internal teams.

Training & Knowledge Sharing

• Create, review, and edit internal, client-facing, and technical marketing materials for accuracy, clarity, and grammar.
• Support delivery of training to internal stakeholders.
• Share industry best practices and technical updates with the team.

Cross-Functional Collaboration

• Partner with Compliance, Operations, Document Services, and other internal teams to resolve questions and help ensure consistent administration practices.
• Attend and participate in team, project, client, and cross-functional meetings as requested.

Documentation & Communication

• Monitor assigned work, communicate status and potential delays, meet established deadlines, and maintain complete and accurate documentation.
• Create, review, and edit internal and client-facing materials for technical accuracy and clarity.
• Maintain detailed project documentation and compliance records.
• Provide regular communication regarding project status, findings, and recommendations.

Requirements

• 3-7 years of related experience in retirement plan administration, compliance, financial services, accounting, legal services, or a comparable analytical environment.
• Proficiency with Microsoft Office Suite (Excel, Word, PowerPoint, Outlook).
• Detail-oriented, research-focused, and organized.
• Ability to manage deadlines and priorities.
• Clear and professional communicator.
• Collaborative and supportive team member.

Preferred Qualifications

• Associate's or bachelor's degree (equivalent skills and industry experience will be considered in lieu of a degree).
• Experience working with qualified retirement plans, plan documents, regulatory research, data analysis, or technical client service (helpful but not required).
• Experience in a TPA environment in the retirement plan services industry.
• Industry designation or demonstrated progress toward a relevant credential.
• Demonstrated ability to work collaboratively across departments to achieve business objectives.

Compensation & Benefits

• Anticipated hiring range: $70,000 - $100,000 annually.
• Benefits: medical, dental, vision, life, disability.
• 401(k) with company match + HSA with company contribution.
• Generous PTO for parental leave, vacation, and holiday time.
• Support for certifications, association dues, and professional development.
• Equal pay and pay transparency commitment.

Location

Support is available for teams across the country, with office locations including Charlottesville, VA; Columbia, MD; Columbus, OH; Monrovia, CA; Riverside, CA; Maple Grove, MN; and Baxter, MN, as well as remote locations.