Senior Regulatory Compliance Analyst supporting the delivery of regulatory compliance framework in a leading global Financial Services firm. Contributing to compliance reporting and maintaining governance policies across jurisdictions.
About the role
- Ensure compliance with ERISA and IRS regulations for qualified retirement plans at Transamerica. Identify and resolve compliance issues while supporting product development and risk management.
Responsibilities
- Ensure compliance with statutory and regulatory guidelines for ERISA, Internal Revenue Code and other guidance requirements for qualified plans (Sections 401(k)/ 401(a)), Section 403(b) plans, 457 plans, multiple employer plans (MEPs), pooled employer plans (PEPs), and corporate non-qualified plans.
- Identify and help resolve plan compliance and fiduciary issues (e.g. qualification defects addressed under the IRS’ EPCRS and DOL VFCP programs).
- Propose and help implement best practices for ERISA-compliance plan administration.
- Notify internal administration teams about impact of new developments and support the development of new products, services, and processes, and provide risk management support.
- 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 and resolution, best practices, and preparation of client communications, plan forms, and participant communications.
- Provide regulatory consulting services to help desks and operational areas.
- Draft technical 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.
- Support Transamerica’s pre-approved plan documents.
- Assist in new product development.
- Maintain a high-level awareness of ongoing developments in the pension industry.
- Provide regulatory risk management internally and externally.
Requirements
- Bachelor’s degree in a business-related field or equivalent education/experience.
- Three years of retirement industry experience in legal, compliance or a similar setting.
- Understanding of legal requirements for qualified plans (Sections 401(k)/ 401(a)), Section 403(b) plans, Section 457 plans, multiple employer plans (MEPs), pooled employer plans (PEPs), corporate non-qualified plans and ERISA.
- Research and analytical skills to interpret IRS and DOL regulations and pension legislation.
- Communication skills (verbal, written, listening) to convey complex, regulatory legal rules and requirements in layman terms.
- Problem resolution skills, with an emphasis on analysis, formulation and documentation of recommendations.
- Organization/time management skills to handle multiple projects simultaneously.
- Working towards a 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
- College Coach 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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