Retirement Plan Compliance Specialist

EisnerAmper; Raleigh (NC); On-site; USD 70,000 - 110,000; Full time

Job summary

Prosperity - An EisnerAmper Company is seeking a detail-oriented compliance professional to support the firm's regulatory compliance program, monitor procedures, and assist in examinations. You will work with teams to ensure policy alignment with laws and internal standards.

The role emphasizes collaboration, integrity, and proactive risk management, with travel to firm offices as required and opportunities to contribute to a growing compliance culture.

Qualifications

• Bachelor's degree in a related field.
• 3–5 years of experience in compliance, regulatory affairs, audit, operations, or financial services.

Responsibilities

• Support day-to-day administration, monitoring, and maintenance of the firm's regulatory compliance program.
• Review and update compliance policies and procedures to align with regulatory requirements.
• Maintain the compliance calendar and ensure timely filings and reviews.
• Review new account opening documentation for completeness and regulatory adherence.
• Assist with regulatory examinations, audits, and information requests.
• Conduct due diligence on vendors and third-party providers, monitor ongoing compliance.
• Review marketing and client materials for regulatory compliance.
• Support Code of Ethics program, including attestations and trading reviews.
• Stay informed on regulatory developments and communicate impacts to staff.
• Collaborate with stakeholders to improve processes and strengthen compliance practices.
• Travel to firm offices and training events as needed.

Skills

Regulatory compliance

Audits

Policy review

Ethics program oversight

Education

Bachelor's degree in Finance/Business/Economics/Accounting/Legal Studies

Tools

Microsoft Office

Excel

Documentation management

Job description

Prosperity - An EisnerAmper Company is seeking a detail-oriented compliance professional to support the firm's regulatory compliance program, monitor procedures, and assist in examinations. You will work with teams to ensure policy alignment with laws and internal standards.

The role emphasizes collaboration, integrity, and proactive risk management, with travel to firm offices as required and opportunities to contribute to a growing compliance culture.