Director of ERISA Compliance

Job not on LinkedIn

🔥 14 minutes ago

🇺🇸 United States – Remote

💵 $150k - $180k / year

⏰ Full Time

🔴 Lead

🚔 Compliance

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Human Interest

WebsiteLinkedInAll Job Openings

501 - 1000 employees

Founded 2015

💸 Finance

💳 Fintech

💰 $200M Series D on 2021-08

Finance • Fintech

Human Interest is a company that provides affordable and full-service 401(k) and 403(b) retirement plans, primarily targeting small and medium-sized businesses. Founded in 2015, they aim to streamline the retirement planning process through seamless payroll integrations with over 500 leading payroll systems. The company emphasizes low-cost funds and zero transaction fees, and offers customizable retirement solutions to meet the diverse needs of employers and their employees. Human Interest also provides investment advisory services through its subsidiary, Human Interest Advisors LLC. Their goal is to make retirement benefits accessible to businesses of varying sizes, enhancing employee financial wellness and satisfaction.

📋 Description

• 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

🎯 Requirements

• 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

🏖️ Benefits

• 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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