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PCS Retirement · 4 weeks ago

Director of Regulatory Operations and Compliance (Hybrid - Philadelphia)

Philadelphia,PA,US

Full-time

Hybrid

Senior Level, Lead/Staff

$108K/yr - $140K/yr

10+ years exp

PCS Retirement, LLC is one of the nation's largest independent retirement solution providers. The Director of Regulatory Operations and Compliance will lead the operational execution of client fulfillment processes while ensuring compliance with all applicable regulations.

ConsultingFinanceFinancial ServicesRetirement

Responsibilities

Oversee day-to-day fulfillment operations, including regulatory communications and statement generation, printing, mail receiving and processing, forms and distribution, ensuring accuracy and timeliness

Develop and implement operational workflows that align with regulatory requirements and client expectations

Continuously assess and improve processes for efficiency, scalability, and risk mitigation

Manage relationships with third-party vendors involved in fulfillment, printing, mailing, and statement distribution to ensure service quality and compliance

Monitor vendor performance through KPIs, audits, and regular reviews; implement corrective actions when necessary

Understand new and existing complex regulations and partner with internal legal and compliance teams to operationalize requirements

Serve as the main point of contact for the controls and governance relating to 3(16) fiduciary administrative services and Pooled Plan Provider (PPP) services and periodically assess the efficacy of the operational teams supporting these services

Ensure fulfillment and statement processes adhere to DOL, IRS, and other applicable legal and regulatory standards

Maintain compliance documentation and support audits with accurate operational evidence

Stay ahead of industry trends and proactively recommend process enhancements to maintain compliance and efficiency

Work closely with Legal, Risk, IT, Client Services, and Trust Company representatives to ensure integrated compliance strategies

Serve as the operational liaison during regulatory reviews and client inquiries

Partner with IT to identify and implement automation tools for fulfillment and compliance workflows

Translate legal guidance into actionable steps for fulfillment and statement teams

Identify operational compliance risks and implement preventive controls

Lead internal reviews and corrective action plans to address gaps

Establish KPIs and dashboards to monitor compliance adherence to operational and regulatory activities

Manage and develop a team of fulfillment and control and governance professionals

Foster a culture of accountability, continuous improvement, and regulatory awareness

Qualification

Regulatory complianceOperational leadershipProcess improvementIRS regulations knowledgeDOL regulations knowledgeCross-functional collaborationAnalytical skillsCommunicationProblem-solving skillsTeam leadership