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Years of Experience
Date Last Verified
ProfileConsultant, ERISA The candidate will be providing consulting services to company’s clients through company’s technical access service, providing in-house consulting, conducting seminars, technical research, analysis and special projects as assigned. Answer 1-800 QRP queues. Answer Helpdesk queues. Answer Advanced Helpdesk queues. Conduct Peer Call Reviews. Conduct presentations at the ERISA technical consulting meeting or other internal ERISA department training. Conduct internal advanced ERISA technical training (e.g., Advanced ERISA Focus Classes, live ERISA Edge). Conduct QRP seminars and webinars. Conduct Fall Forum training. Design, write, and update advanced internal or external training modules. Demonstrate advanced knowledge of company’s retirement plan documents. Demonstrate an advanced knowledge of company’s retirement plan forms and notices. Draft or update qualified retirement plan forms or notices for use by financial organizations, sponsors and practitioners. Audit employer level qualified retirement plan document preparation. Propose customized text for employer level qualified retirement plan document preparation. Audit and map prototype document for application in Plan Services Group/Document Compliance Services. Review, audit and map volume submitter plan documents for application in Plan Services Group/Document Compliance Services. Audit and map specialty plan document and complex individually designed plans for application in Plan Services Group/Document Compliance Services. Independently conduct QRP compliance audits. Demonstrate advanced knowledge of RPS or PSG policy and procedures. Independently perform fee-for-service engagements. Independently perform advanced external fee-for-service consultations. Work independently to act as subject matter expert for department/interdepartment projects. Independently manage small to medium size projects. Assist with research and response to legal or other disputes. Complete advanced QRP research projects and present advanced QRP research findings. Write articles for publication in industry journals and publications. Analyze and interpret significant legislative, statutory, regulatory, or case law guidance. Determine the impact significant legislation, regulatory or case law guidance has to the retirement plan community and/or company’s products, services, and/or systems. Demonstrate an advanced knowledge of QRP and 403(b). Demonstrate a functional knowledge of 457 plans. Demonstrate basic knowledge of the retirement industry including the applicable regulatory agencies (e.g., DOL and IRS). Demonstrate basic knowledge of investment options in retirement plans (e.g., mutual funds, annuities and ETFs) and the associated regulatory agencies (e.g., SEC, FINRA, NAFCU, FDIC, OCC, OTS). Demonstrate a basic knowledge of certain ancillary laws (e.g., securities, estate planning, banking, social security, Medicare, bankruptcy, e-sign). Enhance technical and industry knowledge by attending continuing education classes.
Qualification and Experience
The candidate should have Bachelor’s degree in business, finance, accounting or a related field. CFP, CTFA, CFA, CEBS, CPA, MBA, JD degree or PMP preferred. Insurance or securities licenses preferred. Company info