Director of ERISA Compliance

🕒 6 dias atrás

🇺🇸 Estados Unidos – Remoto (EUA)

💵 $150.000 - $180.000 / ano

⏰ Tempo Integral

🔴 Especialista

🚔 Conformidade

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Human Interest

SiteLinkedInTodas as Vagas

501 - 1000 funcionários

Fundada em 2015

💸 Finanças

💳 Fintech

💰 $200.000.000 Series D em 2021-08

Finance • Fintech

A Human Interest é uma empresa que oferece planos de aposentadoria 401(k) e 403(b) acessíveis e completos, com foco principalmente em pequenas e médias empresas. Fundada em 2015, seu objetivo é simplificar o processo de planejamento de aposentadoria por meio de integrações de folha de pagamento com mais de 500 sistemas de folha de pagamento líderes. A empresa enfatiza fundos de baixo custo e zero taxas de transação, oferecendo soluções de aposentadoria personalizáveis para atender às diversas necessidades de empregadores e seus funcionários. A Human Interest também oferece serviços de consultoria em investimentos por meio de sua subsidiária, Human Interest Advisors LLC. Seu objetivo é tornar os benefícios de aposentadoria acessíveis a empresas de vários tamanhos, promovendo o bem-estar financeiro e a satisfação dos funcionários.

Descrição

• Lead and direct the compliance program to ensure adherence to ERISA, DOL, and IRS regulations across 401(k) plan operations • Modernize compliance workflows and build cross-functional feedback loops with Customer Onboarding, Customer Success, and Product • Perform root-cause analysis on errors and delinquencies • Develop and implement technology-driven compliance frameworks that scale with the client base • Drive technology-enabled initiatives with Product to improve platform-wide plan compliance health • Design and oversee automated compliance monitoring systems • Build and manage dashboards tracking team SLAs, operational metrics, and statutory regulatory deadlines • Partner with Product, Operations, and Technology on feature rollouts, system copy, and marketing collateral for regulatory alignment • Lead Customer Advocacy and incident management for high-level escalations with Legal • Oversee fiduciary governance and documentation of fiduciary decisions • Lead compliance technology initiatives, including plan document automation, testing workflows, and regulatory reporting systems • Manage relationships with external auditors, regulatory bodies, and compliance consultants • Drive process improvement through automation and optimization • Advise executive leadership on compliance risks and operational failures; own strategic remediation solutions and serve as primary contact for regulatory inquiries and examinations • Develop and maintain compliance policies, procedures, and training programs • Lead crisis management protocols for compliance-related issues • Coach and mentor frontline compliance managers

🎯 Requisitos

• 10+ years of experience in ERISA compliance • At least 5 years in leadership roles within retirement plan administration • Current ERISA-related professional certification (QKA, QPA, RPF, or equivalent) • Proven track record leveraging technology to drive compliance efficiency and scalability • Experience with 401(k) plan administration, including nondiscrimination testing, plan document maintenance, and fiduciary oversight • Ability to develop compliance frameworks and processes that drive measurable results • Experience implementing compliance technology solutions and automated testing systems • Exceptional communication skills and ability to translate complex regulatory requirements for diverse stakeholders • Data-driven approach to compliance management and risk assessment • Advanced ERISA certifications (CEBS, CPC) preferred • Juris Doctor with emphasis on ERISA, employee benefits, or administrative law preferred • Experience within a high-growth fintech, modern TPA, or SaaS retirement platform preferred • Experience scaling compliance functions from startup to enterprise stage preferred • Background in regulatory technology or compliance software implementation preferred • Experience managing remote and in-office compliance teams preferred • Knowledge of AI and machine learning applications in compliance preferred • Familiarity with workflow automation tools such as Jira and Gemini, and dashboarding software such as Salesforce and Hex preferred • Familiarity with IRS EPCRS and DOL VFCP/DFVCP preferred

🏖️ Benefícios

• Base salary is one component of the overall total rewards package; bonuses, commissions, and equity may be offered • 401(k) with dollar-for-dollar employer match up to 4% of compensation, immediately vested, with $0 plan fees • Health insurance • Dental insurance • Vision insurance • Competitive time off • Parental leave • Addition Wealth: unlimited access to digital tools, financial professionals, and a knowledge center for equity and financial wellness • Lyra enhanced mental health support for employees and dependents • Carrot fertility healthcare and family-forming benefits • Candidly student loan resources • Monthly work-from-home stipend • Quarterly lifestyle stipend • Team-building experiences, virtual social events, and team offsites

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