Job Description
Compliance Manager-Remote
Position Title: Compliance Manager
*Remote/Hybrid
Position Overview:
Our client is seeking a 3(16) Compliance Manager to lead the internal compliance and customer service functions of the firm. This leadership role will focus on managing, coaching, and supporting team members to ensure consistent delivery of operational processes, high-quality service, and strong internal collaboration.
The role will play a key part in designing, implementing, and improving standard operating procedures while building scalable systems that support the continued growth of the organization. The ideal candidate will be someone who thrives in building structure, enjoys solving operational challenges, and empowers team members to deliver excellent results.
Over the first 6–12 months, the position will focus on gaining a deep understanding of current workflows, identifying operational gaps, and implementing durable processes that support long-term scalability. This is an opportunity for a leader who wants to play a foundational role in shaping how 3(16) fiduciary services are delivered as the organization grows.
Key Responsibilities:
- Oversee the execution of all 3(16) compliance workflows including data collection, plan documents, payroll contributions, deferral changes, valuation preparation, government filings, distributions, notices, mailings, and internal tracking to ensure accuracy and consistency.
- Manage and mentor a team of administrators while fostering professional development and performance aligned with company values.
- Build, implement, and maintain internal documentation for procedures, training resources, and operational checklists while continuously improving operational processes.
- Serve as a key escalation point for customer service issues and coordinate with internal teams and external partners to ensure timely resolution.
- Balance hands-on operational involvement with leadership responsibilities, knowing when to step in and when to delegate to the team.
- Monitor workload distribution, resource planning, and turnaround times across the team.
- Partner with other departments to ensure seamless collaboration and timely administration of services.
- Support hiring, onboarding, training, and performance development initiatives within the team.
- Promote a proactive and solutions-focused approach while maintaining strong service standards for clients and internal stakeholders.
Qualifications & Experience:
- 7–10 years of experience in defined contribution 3(16) compliance work and/or retirement plan administration.
- Experience in project management or operational leadership is strongly preferred.
- Experience training staff or developing operational documentation and process guides.
- Strong knowledge of 3(16) fiduciary responsibilities and compliance requirements.
- Familiarity with industry tools such as PensionPro, recordkeeping platforms, and plan document systems.
- Strong communication skills with the ability to clearly communicate with internal teams, advisors, and plan sponsors.
- Highly organized with strong follow-through and attention to detail.
- Ability to manage sensitive information with professionalism and discretion.
- Experience supporting mergers or acquisition transitions is considered a plus.
Benefits:
- Health insurance with 100% coverage of the single employee rate under the base medical plan option.
- Additional medical plan options available with employee premium contributions.
- Dental and vision coverage available through Blue Cross & Blue Shield.
- Optional life and disability coverage available through Colonial Life.
- Paid time off accrued up to 16 days annually depending on start date.
- 11 paid company holidays annually.
- 401(k) profit sharing plan eligibility beginning the first of the month following three months of employment with immediate vesting upon participation.
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