Director of Applied Plan Compliance

This is a fully remote position, open to applicants in United States.

📋 Description

• Take charge of nondiscrimination testing, calculating employer contributions, and reconciling deposits with payroll and plan formulas.

• Manage Year-in-Review outcomes and corresponding action items for each plan, including refunds, true-ups, and amendments.

• Supervise the compliance review process for every plan during the compliance season.

• Develop exception processes and carry out tasks that have not yet been automated.

• Collaborate with internal teams to fulfill clients' requirements and deadlines.

• Assist in clearly conveying complex data requests and Year-in-Review findings to clients.

• Establish compliance standards and outline requirements for each plan's annual cycle.

• Create answer keys, review traces, and label datasets to enhance AI agents.

• Evaluate and expand compliance calculators.

• Remain updated on laws, regulations, and industry best practices.

• Design and test tools, collaborating with R&D to integrate them into applications.

• Draft product-cycle proposals and suggest build sequences.

• Set up tracking, documentation, decision-making, and manual override procedures.

• Report to the Head of Applied Plan Services and work in tandem with Plan Services, Relationship Managers, Documents & Technical Services, and R&D.

• Operate as an individual contributor to establish a scalable long-term function.

⛳️ Requirements

• Over 8 years of experience in defined contribution plan administration, with extensive knowledge of compliance testing, contribution calculations, and their necessary corrections.

• Proven experience in designing or implementing a compliance testing program at scale, including procedures, controls, review levels, and quality assessment.

• Proficient in data handling: using spreadsheets for calculations, reconciliation, and understanding the origins of numerical data.

• Demonstrated interest in applied AI, with tangible examples of successes and failures, along with insights gained.

• High level of agency and comfort with ambiguity as a senior individual contributor in a startup environment.

• Ability to communicate clearly with engineers, service team members, and clients.

• Work authorization is required; visa sponsorship is not available.

• CPC or QPA credential is preferred.

• Experience in developing evaluation sets, test harnesses, or QA programs for software or automation.

• Proficiency in Python, SQL, or scripting; familiarity with agent frameworks or document-extraction tools is advantageous.

• Knowledge of ftwilliam and major recordkeeper servicing platforms.

• Previous experience in a fintech, wealthtech, or high-growth startup environment is desirable.

🏝️ Benefits

• Comprehensive health, dental, and vision insurance, with additional optional coverage available.

• 401(k) plan with company matching contributions.

• Flexible paid time off and holiday allowances.

• Ten weeks of paid parental leave.

• A fully remote work setting.

• All necessary technology and equipment provided.

• Support for professional development and career advancement.

• Annual bonus opportunities.

• Equity options available.