Senior Regulatory ConsultantManage relationships with accounts to maximize account profitability and expand revenue.The Senior Regulatory Consultant, under limited supervision, will use specialized knowledge and skill obtained through experience, specialized training or certification to support and serve as a resource for internal plan consultants as well as external clients regarding all aspects of retirement plans, including complex plan design, compliance testing, plan operations, client relationship management, and review of client deliverables.Essential Duties and ResponsibilitiesConsult and advise on and create complex plan designMentor Senior ConsultantsSupport consultants and provide guidance on complex issuesParticipant in internal Consultant training programMonitor and review client deliverables for accuracy and qualityAttend client meetingsSuperior client relationship management skills to ensure high quality deliverablesSchedule periodic check-ins with clients to ensure satisfactionRegularly lead projects of critical importance, often with organization-wide impactMonitor retirement plan related legislation and IRS and DOL rules and regulations, and draft both internal and external summary communicationsFunction as an additional point of contact for clients and advisors and be an escalation point for client issuesAnticipate client needs and formulate solutions to client issuesDraft and review plan documentsManage own personal and professional development; seek opportunities for professional growth and expansion of consulting skills and experiencesParticipate in client sales presentationsKnowledge ofDeep knowledge of retirement plan related IRS and DOL Code and RegulationsExtensive experience with all types of retirement plans, including profit sharing, money purchase pension, 401(k), 403(b), 457(b), 457(f), tribal, governmental, cash balance and other defined benefit plans, and non-qualified deferred compensation plansSuperior understanding of IRS controlled group and affiliated service group rulesExpert knowledge of compliance testing, including coverage, nondiscrimination (e.g., ADP, ACP, rate group testing, benefits rights and features), top heavy determination, etc.Strong working knowledge of trust accountingOperating standard office equipment and using required software applications, including Microsoft Office and SalesforceSkill inProblem solving including the ability to independently research and determine strategies to solve client needsPerforming complex compliance testing and discussing complex plan design solutions with both internal and external clientsProviding customer serviceCommunicating effectively, both orally and in writingOperating recordkeeping systems include Relius and OmniUsing ftwilliam software to create plan documents and governmental forms (e.g., 5500, 8955-SSA, 1099s, etc.)Ability toCreatively solve problemsInteract with senior and C-level managementPrioritize, work independently and drive tasks to completionLead project teams and function with multiple tasks and deadlines concurrentlyHandle multiple ongoing projectsEducation/Previous ExperienceBachelor's degree, preferable in Mathematics, Actuarial Sciences or Business Administration10+ years of experience in the retirement field including consulting with clientsERISA legal experience preferableLicenses/CertificationsQKA or QPA designationTravel Required: Yes, sales presentations and client meetings as needed***SIE not required***Bachelor's: Accounting, Bachelor's: Business Administration, Bachelor's: FinanceGeneral Experience - 3 to 6 yearsCertifications: Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA)Salary Range: $100,000.00-$125,000.00Travel: Less than 25%Workstyle: HybridAt Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view. We expect our associates at all levels to: • Grow professionally and inspire others to do the same • Work with and through others to achieve desired outcomes • Make prompt, pragmatic choices and act with the client in mind • Take ownership and hold themselves and others accountable for delivering results that matter • Contribute to the continuous evolution of the firmAt Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive.
The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.