Compliance QC Specialist

The Revenue Core Functions team is the backbone of the Revenue team and keeps the entire organization running smoothly. As a high-level Individual Contributor on the Sales Activation team, you will act as a behind-the-scenes technical advisor and a force multiplier on the activation side of an already rapidly-scaling startup, enabling a business that is already exceeding growth targets to expand even faster.

In this remote role as a Compliance QC Specialist , you will be responsible for ensuring all startup and conversion plans are in compliance. Serving as an internal Subject Matter Expert (SME), you will ensure that all transitioning plans maintain protected benefits under IRC Section 411(d)(6), while also verifying perfect product and investment fit on our systems.

Operating in a high-velocity environment with a 1-business-day SLA , you will keep numerous tasks and stakeholders moving forward by proactively collaborating across internal teams to find creative compliance pathways before saying "no".

- Technical Compliance Auditing: Audit Benefit Analysis, plan documents, and system setups prior to plan launch to ensure absolute accuracy and compliance.

- 411(d)(6) Safeguarding: Deeply research conversion plan documents to identify issues, track protected benefits under IRC Section 411(d)(6), and mitigate risks with product limitations.

- SME Resource & Escalation: Serve as a subject matter resource for internal teams regarding plan design and compliance; escalate complex issues to leadership as appropriate.

- Analysis & System Verification: Draft and review Benefits Analysis prior to Sales Activation Specialist and Plan Sponsor discussions, and review systems and plan documents for accuracy.

- Internal Technical Advisory: Research and respond to a high volume of requests for resolution of compliance issues and problems presented by internal sales and onboarding employees in order to assist with closing leads.

- Cross-Functional Partnership: Work closely with Sales Activation Specialists and Sales Activation Coordinators to ensure accuracy before plan launches, partnering proactively with internal teams like Product and Legal to evaluate potential solutions before saying no.

- Workflow & Project Tracking: Document, track, and update project status within specialized workflow systems (e.g., FT Williams, Salesforce, Jira).

- Peer Support & Mentorship: Perform peer reviews of compliance documents and assist with training and coverage for team members as appropriate with your level of experience.

- Continuous Optimization: Evaluate and recommend ongoing process enhancements to improve overall service delivery, operational efficiency, and the scaling of the QC pipeline.

- Continuous Regulatory Monitoring: Stay current on industry updates, legislative changes (including SECURE 2.0 updates), and internal initiatives as they pertain to and impact recordkeepers, employers, participants, and plan documents.

- Collaborative Engagement: Participate actively in team meetings, training sessions, targeted compliance projects, and firm-wide initiatives.

- Deep 401(k) Experience: You have 10+ years of 401(k) experience, particularly centered around complex technical compliance.

- Credentials: QKA (Qualified 401(k) Administrator) designation is preferred.

- Regulatory Mastery: Strong working knowledge of IRS/DOL rules and regulations applicable to qualified retirement plans.

- Plan Interpretation Expertise: Possess a detailed understanding and proven ability to interpret complex plan documents and related plan materials to ensure total regulatory accuracy.

- Document Drafting & Restatements: Experience drafting pre-approved and custom plan documents using web-based vendor platforms, alongside the ability to manage legislative restatements and document updates subject to strict IRS deadlines.

- Correction Programs: Experience with the Self-Correction Program (SCP) and Voluntary Correction Program (VCP) under EPCRS is a major plus.

- Process Focus: You are passionate about process and constantly on the lookout for inefficiencies that can be improved.

- Continuous Learning: You are a self-starter and enjoy learning new programs, systems, and tools.

- Meticulous Attention to Detail: You possess meticulous attention to detail-rarely making typos and noticing minor discrepancies that others would easily miss.

- Operational Agility: You possess strong organizational skills, allowing you to juggle multiple tasks with varying deadlines and stakeholders without dropping the ball, all while maintaining strict 1-business-day SLAs.

- Professional Development: A commitment to maintaining up-to-date technical and industry knowledge through webinars, ongoing certifications, and other professional development avenues.

Compensation - At Human Interest, there are a number of factors that are used to determine the appropriate pay range for each position. We take into account the cost of labor for each position in various markets across the U.S. The base salary for this position spans $70,000 - $80,000 annually and represents the minimum in our lowest geographic region to a maximum in our highest geographic region.

The salary we offer to a new employee within this range is based on their location within the U.S., their relevant job-related skills, and experience. At Human Interest, base salary is one component of the overall total rewards package. Depending on the position, additional compensation components such as bonuses, commissions, and equity may be offered.

All of our employees are offered a robust suite of physical, financial, and mental wellness benefits. In compliance with applicable laws, we do not inquire about salary history, or about criminal history prior to a conditional offer of employment.