Compliance QC Specialist

About the role

The Compliance QC Specialist will play a key role in ensuring accurate, compliant, and efficient implementation processes within a fast-growing financial services environment. This position focuses on reviewing retirement plan documentation, identifying compliance risks, and supporting successful client launches.

Responsibilities

• Review and validate retirement plan documents, system configurations, and implementation materials to ensure compliance and accuracy before launch.
• Work directly with prospective clients to confirm plan design features align with available product capabilities and implementation requirements.
• Analyze conversion plan documentation, identify potential compliance risks, and recommend solutions to address product or process limitations.
• Prepare and review Benefits Analysis documentation before discussions with implementation specialists and plan sponsors.
• Audit plan setups, documentation, and workflows to ensure accuracy and readiness for successful implementation.
• Research and resolve complex compliance-related questions submitted by internal teams, helping remove barriers and support successful client onboarding.
• Partner closely with implementation and sales teams to ensure quality standards are maintained throughout the launch process.
• Identify opportunities to improve processes, increase efficiency, and strengthen quality control practices.

Requirements

• 10+ years of experience working with 401(k) plans, retirement benefits, and compliance processes.
• Strong knowledge of retirement plan regulations, documentation requirements, and operational compliance standards.
• KPA certification preferred.
• Exceptional attention to detail with the ability to identify discrepancies, errors, and potential risks.
• Strong organizational skills and the ability to manage multiple projects, deadlines, and stakeholder requests simultaneously.
• Passion for process improvement and a proactive approach to identifying operational efficiencies.
• Ability to quickly learn new systems, tools, and workflows in a fast-paced environment.
• Strong communication skills and the ability to collaborate effectively with clients and internal teams.
• Bachelor’s degree or equivalent professional experience.

Benefits

• Competitive annual salary range of $70,000 to $80,000, based on location, skills, and experience.
• Employer-sponsored 401(k) plan with dollar-for-dollar matching contributions up to 4% of compensation and immediate vesting.
• Comprehensive health, dental, and vision insurance plans.
• Competitive paid time off and parental leave benefits.
• Mental health support services for employees and dependents.
• Fertility healthcare and family-building benefits.
• Student loan support and financial planning resources.
• Monthly work-from-home stipend and quarterly lifestyle stipend.
• Remote work flexibility with opportunities for team-building events and collaboration activities.