Retirement Plan Advisor - Team Lead

Responsibilities

• Develop and maintain positive relationships with plan sponsors and/or participants and maintain caseload of small to mid-size clients
• Play lead role during plan review meetings, typically presenting the following: Plan Summary, Legislative Updates, Fiduciary Training, Plan expense analysis, Fund and Investment Overview, Communication and Education history and opportunities
• Promote, educate, facilitate, and implement plan design and investment program changes to accommodate client’s goals and objectives
• Support client fiduciary matters including coordinating annual compliance notifications with external service partners, such as 408b2/404a5 notices, safe-harbor, QDIA notices, etc. and maintaining copies in a web-based portal
• Facilitate the plan setup conversion/onboarding process and ongoing administration of the Plan; Partner with external service partners on the setup of new and converted plans and fund exchanges
• Activities include sample plan documents, kick-off meetings, documentation, timelines, etc.
• Oversee the ongoing administration, reporting, processing and/or problem resolution for our clients; effectively leverage knowledge and resources of organization and external service partners’ infrastructure to complete tasks and resolve issues
• Provide advice and serve as a professional resource to internal staff and external clients by communicating pension-related technical knowledge efficiently and effectively through correspondence, presentations and or consultation with clients
• Prepare communication to external service partners regarding plan set up, reporting, annual review, etc.; response to questions/requests, and obtain information necessary to accomplish primary objectives
• Provide exceptional client service, consulting on client inquiries, researching and resolving issues, and providing technical expertise on plan and regulatory issues
• Develop employee education and communications programs and implement across all plans
• Cover conduct large and small group employee presentations and individual participant one-on-one meetings
• Troubleshoot plan and participant issues
• Triage/delegate issues with corresponding documentation appropriately when unable to resolve independently
• Close the loop with others when delegating the responsibility for resolution to external providers or internal resources
• Obtain signed copies of all plan-related legal documents and distribute as appropriate
• Seek to improve the organization’s profitability by managing client relationships
• Review compliance testing and 5500 preparations as needed
• Identify opportunities to refer business to the Firm’s Wealth Management Adviser team when appropriate
• Assist with other tasks and projects as assigned

Requirements

• Bachelor’s degree in business administration or relevant field; master’s degree/MBA, a plus, or equivalent experience
• 5+ years of directly related experience in 401k/403b relationship management, plan design, and fiduciary services
• FINRA Series 65 license, preferred
• Certified Plan Fiduciary Advisor (CPFA) and Qualified 401(k) Administrator (QKA) designations, desired
• Strong decision-making and problem-solving abilities
• Excellent organizational and leadership skills
• Ability to take initiative
• Outstanding speaking, communication, and interpersonal skills