Job Summary
The Sr Plan Document Compliance Specialist is responsible for playing an active role with the New Business/Transition process through review and consultation with all plan types and products. They will assists the document services team as well when needed.
Responsibilities
- Review plan documents for new clients to ensure compliance standards are met.
- Provide consultation on plan design during design call.
- Prepare initial document package which includes policies, forms, and notices as needed.
- Input document information in CRM.
- Support client calls as needed to explain any plan document issues.
- Maintain and update instructions, checklists and plan design grids.
- Show initiative to be a leader in the department.
- Demonstrate the ability to problem solve, research, and resolve complex issues that may arise.
- Take a lead role in process improvements and projects that extend across internal partners and upper management.
- Coordinate ongoing education/training for other team members, as needed.
- Quality review peer documents, policies, and forms prior to client distribution.
- Transition all plan types and products in New Business (DC, DB, NQ).
- Quality review Amendments, etc. drafted by Ongoing Document Team, as well as from Sales and Transition Consultants
- Provide document and compliance support to internal partners (Sales, Relationship Managers, Distribution Specialists).
- Support/lead departmental initiatives and projects
- Perform consistent above average review ratings
- Perform other duties as assigned.
Qualifications
- 4 Year / Bachelors Degree
- College degree or relevant work experience.
- QKA (Qualified 401(k) Administrator) designation preferred
- Minimum of 10 years of plan document related experience required.
Salary: $60,000 – $80,000 base salary, based on experience, plus eligibility to participate in company’s bonus program