GROUP RETIREMENT PLAN COMPLIANCE OFFICER - LOCATION FLEXIBLE 9/16/2016
DM Stone JobsInBrokerage.com
San Francisco, CA
JOB DESCRIPTIONAPPLY **PLEASE NOTE THAT THE LOCATION OF THIS POSITION IS FLEXIBLE:CAN BE IN OMAHA, NEW YORK, SAN FRANCISCO, SAN RAMON OR LOS ANGELES**DESCRIPTIONThe Retirement Plan Compliance Officer is responsible for providing effective compliance supervision to the Group Retirement Plan segment of the bank?s broker dealer business. The Group Retirement Plan Compliance Officer reviews and approves retirement plan accounts throughout all geographic territories. The Group Retirement Plan Compliance Officer will work with Regional Business Supervisors if they have questions about Group Retirement Plan Business or whether an account is classified as a group retirement plan. Additionally, the Group Retirement Plan Compliance Officer will be responsible for review and approval of new group retirement plans, in conjunction with the Group Retirement Plan Product Manager.DUTIES:Responsible for the compliance component of the Group Retirement channel. Monitors and reviews group retirement plan accounts transactions for suitability and completeness.Research relevant ERISA and IRS regulations and provide updates to senior management about how this affects our Group Retirement Plan Business.Review and suggest revisions to bank?s written supervisory procedures and broker dealer compliance manual as they relate to the group retirement plan line of business.Coordinate with Complaint Officer, Investment Management and Legal department regarding issues related to any group retirement plan related complaints.
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