Job title: Compliance Officer – Retirement Plans and Insurance
Company: Alera Group
Job description: Overview:Alera Group is looking for strategic and dynamic Compliance Officer Retirement Plans (ERISA)Alera Group was founded in 2017 and has grown to become the 15th largest broker of US business. We are passionate about our clients’ success in the areas of Employee Benefits, Property and Casualty Insurance, Retirement Plan Services, and Wealth Services. With a network of offices nationwide, our commitment to collaboration allows us to offer national resources combined with local service.The Compliance Officer will primarily be responsible for performing ongoing oversight and surveillance activities focused on the retirement plan consulting and investment management activities for affiliated investment adviser firms under Alera Group. In this role, the Compliance Officer will serve as a subject matter expert with respect to retirement plan compliance, consult with senior leaders and advisors on complex compliance issues, and work with Chief Compliance Officer to enhance and administer the compliance program. This position will support Alera’s compliance efforts by assisting the management of the firm and its advisors in understanding their compliance duties while also providing support and leadership through collaboration and effective execution of the responsibilities of the Officer role. The Compliance Officer will report directly to the Chief Compliance Officer. The ideal candidate will have a strong understanding of the Investment Advisers Act, TITLE I of ERISA, and have experience working at a registered investment advisor.The position may be remote or located in Deerfield, IL.Responsibilities:
- Promote a risk-conscious environment while working with line management to achieve business goals, and prevent, detect, and respond to violations of rules, regulations, or procedures.
- Monitor and ensure compliance with applicable regulations governing advisory services provided to retirement plans, including ERISA, IRS, and other relevant guidelines.
- Review retirement plan documents, policies, and procedures to ensure adherence to regulatory requirements.
- Conduct compliance reviews to ensure deliverables and services provided by Alera advisers remain consistent with the terms of the engagement.
- Creation and enhancement of processes and procedures to provide effective oversight and escalation of compliance matters related to areas of focus.
- Partner with the Chief Compliance Officer and Alera personnel as needed on compliance matters related to areas of focus.
- Assist in the maintenance and updating of required books and records.
- Partner with management and advisors in addressing compliance questions and concerns through thoughtful dialogue and inquiry to ensure proper advice and counsel is provided when needed.
- Provide exceptional service to your clients – the advisors of Alera – and be always an advocate and resource for the advisors and staff of Alera.
- Participate in, and respond to, various SEC, FINRA, and DOL examinations.
- Develop and lead employee training sessions on internal compliance policies and regulatory compliance issues.
Qualifications:
- 4+ years of securities industry experience with direct experience in retirement plan consulting
- Strong knowledge of ERISA, specifically Title I
- A four (4) year college degree or equivalent experience is required
- Experience with the RPAG Advisor Portal preferred
- Superior customer service skills in support of the mission of Alera
- Strong analytical, problem-solving and organization skills
- Excellent verbal, written and interpersonal communication skills
- Able to work independently and take initiative
- Able to adapt to changing priorities
Equal Opportunity Employment:Alera Group offers comprehensive benefits to our colleagues, including medical, dental, life and disability insurance, 401k, generous paid time off and much more.Salary range: $90,000 to $125,000We’re an equal-opportunity employer. All applicants will be considered for employment without attention to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran, or disability status.If you’re a California resident, please read the prior to applying.#LI-JP1#LI-Remote#Nationwide
Expected salary: $90000 – 125000 per year
Location: Springfield, IL
Job date: Sat, 19 Oct 2024 07:31:24 GMT
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