Compliance

• Ensure compliance with statutory and regulatory guidelines for ERISA, Internal Revenue Code and other guidance requirements for qualified plans (Sections 401(k)/ 401(a)), Section 403(b) plans, 457 plans, multiple employer plans (MEPs), pooled employer plans (PEPs), and corporate non-qualified plans.
• Identify and help resolve plan compliance and fiduciary issues (e.g. qualification defects addressed under the IRS’ EPCRS and DOL VFCP programs).
• Propose and help implement best practices for ERISA-compliance plan administration.
• Notify internal administration teams about impact of new developments and support the development of new products, services, and processes, and provide risk management support.
• Research and analyze regulatory guidance from the IRS, DOL, SEC and other applicable agencies, along with new pension legislation.
• Review and prepare plan analysis for new and existing clients, including issue identification and resolution, best practices, and preparation of client communications, plan forms, and participant communications.
• Provide regulatory consulting services to help desks and operational areas.
• Draft technical in-house communications and assist with projects and internal meetings, such as support for Plan Services, Plan Consultants, Compliance Testing, Reporting/Disclosure Unit, Retirement Consulting group and Client Integration team.
• Support Transamerica’s pre-approved plan documents.
• Assist in new product development.
• Maintain a high-level awareness of ongoing developments in the pension industry.
• Provide regulatory risk management internally and externally.

Regulatory Support Consultant

Compliance Analyst – WFG, TFA

Senior Compliance Officer

Senior Compliance Analyst – Retirement Solutions