Sr. Analyst, Retirement Compliance
Core
Oversee retirement compliance programs and support advisors operating in the retirement and ERISA space.
Role type
Senior compliance analyst (retirement/ERISA)
Builds
Compliance oversight frameworks and regulatory readiness for retirement plans
Domain
Financial services / Wealth management / Regulatory compliance
Deliverable
Dashboards & analysis
Required skills
ERISA regulations, Retirement plan compliance, Fiduciary concepts, Regulatory examination support, Compliance documentation, Process improvement
Preferred skills
FINRA Series 66 license, FINRA Series 24 license
Technologies
Microsoft Office Suite, SharePoint
Responsibilities
Execute supervision and oversight activities for ERISA-qualified retirement plans, Review and approve advisor participation in retirement-focused programs, Support regulatory examinations and audits, Monitor annual compliance questionnaires and attestations, Develop and maintain desktop procedures and compliance documentation, Collaborate with recordkeeper partners and internal stakeholders
Seniority
Senior, hands-on IC