Plan Document Compliance Consultant

Plan Compliance Consultant II The Plan Document Compliance Consultant reviews new or amended retirement plan documents for clients to ensure compliance with organization products and services. Working under limited supervision, this job is responsible for the development, implementation, and auditing of adherence to federal, state, local and organization-specific policies, practices and procedures as they relate to retirement plans. Key

Responsibilities and Duties:

Conducts ongoing audits of existing retirement plan policies and practices in order to comply with legislative changes on the federal, state, or local level. Oversees responses to client requests for plan document amendments and/or restatements. Consults with clients on unique and complex issues relating to the ERISA, IRS, DOL and SEC laws and regulations with respect to qualified and non-qualified retirement plans reporting and Form 5500 filing requirements.

Maintains current awareness and understanding of legislative changes, IRS rulings and expert opinions related to the processing of retirement plans. Ensures that the organization’s operational and contractual processes are in alignment with the legal retirement plan document. Provides regulatory feedback on client produced legal plan documents to the client and internal business partners. Possesses thorough knowledge of defined benefit and defined contribution retirement plans, laws, and regulatory issues such as non-discrimination testing, fiduciary responsibilities, audit guidelines, ERISA reporting and disclosure requirements, SEC, IRS, NASD, SIPC, MSRB and DOL requirements.

Collaborates with internal business partners to remediate identified plan document/operational variances by providing the necessary direction to get the legal plan document and TIAA operations into alignment.

Educational Requirements:

University (Degree) Preferred

Work Experience:

3+ Years Required; 5+ Years Preferred

Physical Requirements:

Physical Requirements:

Sedentary Work