Senior Compliance Client Service Manager

MMC; Charlotte (NC); Hybrid; USD 110,000 - 150,000; Full time

Benefits offered by this job

Generous time off

Tuition reimbursement

Hybrid work environment

Charitable contribution match

Stock purchase opportunities

Job summary

Compass Financial Partners, a division of MMA Securities LLC, is seeking a Senior Compliance Client Service Manager to lead client service for institutional clients, ensuring ERISA compliance and supporting plan design and due diligence. You will partner with Relationship Managers and Institutional Consultants, provide proactive solutions, and stay current on market, regulatory changes and client needs.

The role offers a hybrid work environment with strong benefits and opportunities for

Qualifications

• Minimum of 10 years of relationship/client service management experience.
• Experience with ERISA compliance for retirement plans.
• Knowledge of defined contribution financial products and services.
• Relevant industry designations preferred (QKA, QKC, ERPA, QPA, TGPC).
• Strong communication and client service skills.

Responsibilities

• Partner with Relationship Manager and Institutional Consultant to deliver exceptional client service.
• Support plans subject to ERISA compliance, collaborating with internal legal and compliance teams.
• Provide technical support on plan design and due diligence for PE/M&A transactions.
• Attend client quarterly plan reviews as a subject matter expert.
• Provide consultation around compliance testing results and corrections.
• Build relationships with recordkeeping partners to understand benefit modeling capabilities.

Skills

ERISA compliance

Defined contribution knowledge

Relationship management

Financial services experience

Communication skills

Education

Bachelor's degree

Tools

QKA / QKC / ERPA designations

Job description

Compass Financial Partners, a division of MMA Securities LLC.

Senior Compliance Client Service Manager

Our not-so-secret sauceAward-winning, inclusive, Top Workplace culture doesn't happen overnight. It's a result of hard work by extraordinary people. The industry's brightest talent drives our efforts to deliver purposeful work and meaningful impact every day. Learn more about what makes us different and how you can make your mark as a Senior Compliance Client Service Manager, at Compass Financial Partners, a division of MMA Securities LLC.

Marsh McLennan Agency (MMA) provides business insurance, employee health & benefits, retirement, and private client insurance solutions to organizations and individuals seeking limitless possibilities. With offices across North America, we combine the personalized service model of a local consultant with the global resources of the world's leading professional services firm, Marsh (NYSE: MRSH).

A day in the life. As Senior Compliance Client Service Manager, you will serve as a consultative resource to the firm's institutional clientele, building relationships with clients while supporting both day-to-day and complex plan design and compliance related inquiries. Your responsibilities include providing client service management support to the team and supporting the firm's Institutional Consultants and Relationship Managers. Your in-depth understanding of technical client needs will help you anticipate issues and proactively provide solutions.

Our future colleague

We'd love to meet you if your professional track record includes these skills:

• Bachelor's degree
• Minimum of 10 years of relationship/client service management experience required
• A student of the industry with demonstrated confidence of topical knowledge; demonstrate knowledge of defined contribution financial products and services
• Prior ERISA compliance experience required
• Relevant industry designations preferred (i.e. Qualified 401(k) Administrator (QKA)®; Qualified 401(k) Consultant (QKC); Enrolled Retirement Plan Agent (ERPA); Qualified Pension Administrator (QPA); Tax-Exempt & Governmental Plan Consultant (TGPC))

Essential Duties and Responsibilities

• Partner with Relationship Manager/Institutional Consultant in delivering exceptional client service in supporting both day to day and complex issues/projects
• Support clients with plans subject to ERISA compliance, working with internal legal and compliance teams
• Provide technical support to consultants & institutional clients on plan design/compliance/due diligence for PE/M&A transactions
• Attend client quarterly plan review meetings as necessary to serve as a plan design subject matter expert
• Provide consultation around compliance testing results & corrections
• Perform cost analysis of benefit formula changes - use census information to calculate financial exposure of various match formulas
• Support sales/growth- review prospective client's plan documents for design recommendations
• Build relationships with recordkeeping partners to understand their benefit modeling capabilities to augment their work product
• Identifies opportunities for improved efficiency/effectiveness in supporting retirement plan clientele
• Stay abreast of current market, business and legislative issues & trends to facilitate discussions with clients
• Project related support (RFPs, conversions, etc.), as needed

Valuable benefits

We value and respect the impact our colleagues make every day both inside and outside of work. Our culture promotes colleague well-being through robust benefits programs and resources, professional and personal development opportunities, and fulfillment through meaningful work.

Some benefits included in this role are:

• Generous time off, including personal and volunteering
• Tuition reimbursement and professional development opportunities
• Hybrid work environment
• Charitable contribution match programs
• Stock purchase opportunities

Who you are is who we are

We embrace a culture that celebrates and promotes the many backgrounds, heritages and perspectives of our colleagues and clients. We are always seeking those with ethics, talent, and ambition who are interested in joining our client-focused teams.

Marsh McLennan is committed to embracing a diverse, inclusive and flexible work environment. We aim to attract and retain the best people and embrace diversity of age background, disability, ethnic origin, family duties, gender orientation or expression, marital status, nationality, parental status, personal or social status, political affiliation, race, religion and beliefs, sex/gender, sexual orientation or expression, skin color, veteran status (including protected veterans), or any other characteristic protected by applicable law.

If you have a need that requires accommodation, please let us know by contacting [e-mail].