Head of Retirement Compliance Operations

The Head of Retirement Compliance Operations leads our retirement compliance efforts and ensures adherence to regulatory requirements for Ascensus clients.. This role is critical in shaping our compliance strategy, fostering a culture of integrity, and managing risks associated with operations across the organization.   

Responsibilities:

• Oversee the compliance operations team, providing guidance and support to ensure effective and complete service to clients and internal stakeholders 

• Execute on the compliance strategy aligned with the company’s goals and regulatory landscape; review and adjust as needed annually to ensure strategy is current and aligned with regulatory guidelines and organizational goals/direction.   

• Monitor changes in relevant laws and regulations, ensuring the organization remains compliant with all applicable requirements. 

• Identify and assess compliance risks, establishing policies and procedures to mitigate them effectively. 

• Lead training initiatives to promote compliance awareness and educate associates on relevant policies and regulations. 

• Work closely with senior leadership and cross-functional teams to integrate compliance into business processes and report out on issues impacting client confidence and Ascensus’ requirements. 

• Drive continuous improvement initiatives within compliance operations, leveraging data and feedback to enhance processes. 

• Responsible for protecting, securing, and proper handling of all confidential data held by Ascensus to ensure against unauthorized access, improper transmission, and/or unapproved disclosure of information that could result in harm to Ascensus or our clients 

• Core Values of People Matter, Quality First and Integrity Always® are visible in actions on a day-to-day basis showing support of our organizational culture 

Supervision   

• Develop leaders through formal and informal coaching in leading teams, developing constructive working relationships, developing knowledge in the leadership and compliance areas, building business acumen etc. 

Requirements :

• Bachelor’s degree in business administration, Finance, or compliance in retirement industry;  experience with financial products such as MEP/PEP, 3(16) preferred 

• 10+ years of experience in compliance in the retirement industry or a related field, with at least 5 years in a leadership role. 

• In-depth knowledge of regulatory frameworks and compliance best practices relevant to the retirement industry. 

• Proven track record of developing and implementing successful compliance programs. 

• Strong analytical and problem-solving skills, with the ability to assess complex regulatory issues. 

• Excellent communication and interpersonal skills, capable of building relationships across all levels of the organization. 

• High level of integrity and ethical judgment, with a commitment to fostering a culture of collaboration and client service 

• Proficiency in compliance m