Shepherd Financial, LLC · 1 week ago
Director - Retirement Plan Compliance
Carmel, IN
Full-time
Onsite
Lead/StaffShepherd Financial is an independent firm dedicated to retirement plan consulting and wealth management. The Director - Retirement Plan Compliance (DRPC) will oversee ERISA- and compliance-related issues within the retirement plan book of business, ensuring client service accuracy and compliance with regulations.
AdviceFinanceWealth Management
Responsibilities
Closely assist the President - Retirement Plans (PRP) and Client Relationship Consultants (CRCs) with the management of client relationships by responding to client needs, anticipating issues, and proactively providing solutions
Provide internal support for both existing and new client relationships
Identify and resolve compliance issues related to plan operations, including plan errors and corrective actions under IRS and DOL correction programs
Effectively implement available resources to resolve a variety of issues, including DOL and IRS audit support, and plan or contract conversions or terminations
Promote client retention and identify opportunities to strengthen client relationships through timely, high-quality service
Provide consultation regarding plan mergers and acquisitions
Oversee retirement plan compliance-related matters
Conduct exhaustive plan document and amendment reviews
Review compliance testing results and provide calculations, consultation, and strategies for improvement
Create and maintain templates to assist clients with common compliance issues, including missed deferrals, voluntary corrections, filings, etc
Maintain comprehensive and accurate records, documents, and reports
Provide consultation to clients, the PRP, and CRCs for plan design changes
Provide training and guidance to internal teams and clients on compliance requirements, best practices, and updates to regulations
Cultivate strong partnerships with both clients and vendors
Increase Shepherd Financial brand awareness in the retirement marketplace
Remain current with retirement plan industry trends, including the impact of regulatory changes
Qualification
Required
An undergraduate degree and relevant industry designations
A proficiency in Microsoft Word, Excel, and PowerPoint
Compliance with Shepherd Financial's internal policies, including the Work-From-Home Policy and Continuing Education Repayment Program
Begin each business day no later than 8:30 am
Weekly attendance at the retirement plan team meeting on Mondays at 8:00 am EST
Return or acknowledge emails and phone calls from plan sponsors and participants within 24 hours
Document all client interactions in Redtail within 24 hours
Enter all follow-up items in the appropriate Redtail workflow within 72 hours of the client meeting, as applicable
Complete all follow-up items within two weeks of the client meeting, as applicable
Benefits
Paid time off (Holidays, PTO, Volunteer days)
401(k) match
Medical, term life, and disability insurance
Dental
Vision
Voluntary life
Critical illness and accident
LifeLock
Financial support for professional accreditation/license fees and continuing education
Company
Shepherd Financial, LLC
At Shepherd Financial, our mission is to help people and companies thrive through empowered financial solutions.
Founded in 2015
11-50 employees
Funding
Current Stage
Early StageLeadership Team
Alex Sylvester, CPFA®, AIF®
Partner
Holly Willman, SSBBP, CMS
Executive Partner | President - Operations
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