Digital Communications Surveillance Analyst at S&P Global Ratings monitoring electronic communications for regulatory compliance. Collaborating with global teams and identifying potential compliance issues.
About the role
- Senior Regulatory Support Consultant at Transamerica ensuring compliance with ERISA and Internal Revenue Code for retirement plans. Collaborating with clients and providing regulatory consulting services.
Responsibilities
- Ensure compliance with statutory and regulatory guidelines for ERISA, Internal Revenue Code and other guidance requirements for qualified plans, Section 403(b) plans, 457 plans, multiple employer plans, corporate non-qualified plans, IRAs, Section 72 Annuities and Transamerica policies and procedures.
- Work with clients, client’s counsel, consultants, agents, brokers and TPAs to identify and resolve plan compliance and fiduciary issues (e.g. qualification defects addressed under the IRS’ EPCRS and DOL VFCP programs).
- Propose and implement best practices for ERISA-compliance plan administration.
- Advise internal administration teams about impact of new developments and support the development of new products, services and processes.
- Provide proactive risk management and contribute to the ongoing training of staff on retirement plan regulatory matters.
- Research and analyze regulatory guidance from the IRS, DOL, SEC and other applicable agencies, along with new pension legislation.
- Review and prepare plan analysis for new and existing clients, including issue identification, consulting on issue resolution, best practices and preparation of client communications, plan forms, and participant communications.
- Provide regulatory consulting services to Regional Offices (Client Executives and Sales staff), help desks, operational areas and the management team.
- Draft regulatory in-house communications and assist with projects and internal meetings, such as support for Plan Services, Plan Consultants, Compliance Testing, Reporting/Disclosure Unit, Retirement Consulting group and Client Integration team.
- Provide plan design support and assistance related to Transamerica’s prototype, volume submitter and individually designed plan documents, both internally and externally.
- Provide primary consulting and coordination role for IRS EPCRS voluntary compliance submissions for clients and their counsel; interact with the IRS as necessary.
- Provide assistance to the Regulatory Support group as appropriate, and participate in formulation of department strategy.
- Assist in new product development.
- Assist in the development and delivery of regulatory training programs for Transamerica employees.
- Maintain a high level awareness of ongoing developments in the pension industry.
- Assist in special regulatory projects.
- Provide regulatory risk management internally and externally.
Requirements
- Bachelor’s degree in a business-related field or equivalent experience.
- Six years of retirement industry experience in legal, compliance or a similar setting.
- Thorough knowledge of legal requirements for qualified plans, section 403(b) plans, Section 457 plans, multiple employer plans, corporate non-qualified plans, IRA and Section 72 annuities and ERISA.
- Research and analytical skills to interpret IRS and DOL regulations and pension legislation.
- Communication skills (verbal, written, listening) to influence others and convey complex, regulatory legal rules and requirements in layman terms.
- Problem resolution skills, with an emphasis on analysis, formulation and documentation of recommendations; ability to develop alternative solutions to complex situations.
- Organization/time management skills to handle multiple projects simultaneously.
- Preferred Qualifications J.D. degree.
- Retirement plan certification (e.g. ASPPA, CPC, ERPA, CEBS).
Benefits
- Competitive Pay
- Bonus for Eligible Employees
- Benefits Package
- Pension Plan
- 401k Match
- Employee Stock Purchase Plan
- Tuition Reimbursement
- Disability Insurance
- Medical Insurance
- Dental Insurance
- Vision Insurance
- Employee Discounts
- Career Training & Development Opportunities
- Health and Work/Life Balance Benefits
- Paid Time Off starting at 160 hours annually for employees in their first year of service.
- Ten (10) paid holidays per year (typically mirroring the New York Stock Exchange (NYSE) holidays).
- Be Well Company holistic wellness program, which includes Wellness Coaching and Reward Dollars
- Parental Leave – fifteen (15) days of paid parental leave per calendar year to eligible employees with at least one year of service at the time of birth, placement of an adopted child, or placement of a foster care child.
- Adoption Assistance
- Employee Assistance Program
- Back-Up Care Program
- PTO for Volunteer Hours
- Employee Matching Gifts Program
- Employee Resource Groups
- Inclusion and Diversity Programs
- Employee Recognition Program
- Referral Bonus Programs
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