Senior Compliance Client Service Manager

About the role

As Senior Compliance Client Service Manager at Compass Financial Partners, a division of MMA Securities LLC, you act as a consultative resource to the firm's institutional clientele. You build client relationships while supporting day-to-day and complex plan design and compliance inquiries, and you support the firm's Institutional Consultants and Relationship Managers.

Key responsibilities

• Partner with Relationship Managers and Institutional Consultants on client service, covering day-to-day and complex compliance issues
• Support clients with plans subject to ERISA compliance, working with internal legal and compliance teams
• Advise on compliance testing results and corrections
• Perform cost analysis of benefit formula changes using census information to calculate financial exposure of different match formulas
• Review prospective client plan documents and give design recommendations to support sales and growth
• Provide technical support to consultants and institutional clients on plan design, compliance and due diligence for PE/M&A transactions
• Attend quarterly plan review meetings as a plan design subject matter expert
• Build relationships with recordkeeping partners to understand their benefit modeling capabilities
• Identify ways to improve efficiency in supporting retirement plan clients and stay up to date on market, business and legislative trends
• Provide project-related support such as RFPs and conversions as needed

Required profile

• Bachelor's degree
• At least 10 years of relationship or client service management experience
• Demonstrated knowledge of defined contribution financial products and services
• Prior ERISA compliance experience required
• Relevant industry designations preferred (e.g., QKA, QKC, ERPA, QPA, TGPC)

What we offer

• Generous time off, including personal and volunteering days
• Tuition reimbursement and professional development opportunities
• Hybrid work environment
• Charitable contribution match programs
• Stock purchase opportunities