401(k) Plan Growth & Compliance Specialist

Aureate Group; Tampa (FL); On-site; USD 65,000 - 100,000; Full time

Job summary

Aureate Group in Tampa, FL seeks a 401(k) Associate to manage investment menus, plan governance, and compliance for a book of client plans. The role focuses on growing employee participation, deferral rates, and overall plan health while coordinating with TPAs and recordkeepers.

Responsibilities include plan design troubleshooting, fiduciary reporting, client outreach, and delivering education sessions. Strong ERISA knowledge and Series 65 are required, with sponsorship provided.

Qualifications

• 2–5 years in retirement plan services, recordkeeping, or an RIA/advisory environment.
• Series 65 license required or obtainable within 6 months; sponsorship provided.
• Working knowledge of ERISA, DOL regulations, and fiduciary responsibilities.
• Strong presentation and communication skills for participant education.
• CRM experience (Juniper Square, Salesforce, or HubSpot).
• Proficiency with Microsoft Office Suite and Google Workspace.
• Analytical mindset to track and interpret data.

Responsibilities

• Serve as day-to-day contact for plan design, operational issues, and the plan's compliance calendar.
• Prepare materials and minutes for plan committee / fiduciary meetings.
• Coordinate compliance testing (ADP/ACP, top-heavy, 410(b)) with TPAs and recordkeepers.
• Track Form 5500, SAR, and required participant notices (QDIA, safe harbor, 404(a)(5) disclosures).
• Maintain each plan's fiduciary file (IPS, minutes, benchmarking reports) in audit-ready condition.
• Monitor plan document restatements, amendments, and regulatory updates (e.g., SECURE 2.0).
• Design campaigns to increase enrollment and deferral rates for each client plan.
• Deliver employee education seminars, webinars, and enrollment meetings.
• Lead regular client check-ins and annual plan reviews with plan sponsors.
• Prepare fiduciary review decks and dashboards for clients.
• Support onboarding and plan-to-plan transitions/conversions.

Skills

Plan governance

Relationship management

Data analysis

CRM proficiency

Communication skills

Presentation skills

Microsoft Office

Google Workspace

Tools

Juniper Square

Salesforce

HubSpot

Job description

Aureate Group in Tampa, FL seeks a 401(k) Associate to manage investment menus, plan governance, and compliance for a book of client plans. The role focuses on growing employee participation, deferral rates, and overall plan health while coordinating with TPAs and recordkeepers.

Responsibilities include plan design troubleshooting, fiduciary reporting, client outreach, and delivering education sessions. Strong ERISA knowledge and Series 65 are required, with sponsorship provided.