SUMMARY

Responsible for supporting 401(k) Producers with sales support and providing customer service and overall service of assigned clients in updating key plan data on an annual basis.  Manages all activities surrounding the procurement, placement and implementation of employer-sponsored retirement plans and securities-related products.  

ESSENTIAL DUTIES AND RESPONSIBILITIES

•    Maintains ongoing client contact to assist with day-to-day service issues and vendor management;

•    Works with vendors and Third Party Administrators to automate process of data collection and analysis; 

•    Schedules and attends client meetings for prospects and existing clients;

•    Maintains client and due diligence files; 

•    Records notes at meetings and prepares minutes for various investment committees;

•    Prepares investment reviews using Morningstar, RPAG & FiRM software;

•    Prepares investment committee meeting materials and booklets;

•    Assists in completing plan applications, plan document review, and plan implementation;

•    Assists auditors with Form 5500 preparations and data collection;

•    Assists vendors with year-end testing data collection;

•    Assists with or conducts participant enrollment meetings;

•    Supports the 401(k) department with general industry knowledge;

•    Researches and supports new initiatives to increase our efficiency, productivity, compliance and profitability;

•    Assists in resolving plan issues that result from plan failures or poor participation;

•    Completes Request for Proposals;

•    Generally manages complex plans with over $10 million in assets and over 100 participants; 

•    Collection of fees, reconciliation and resolution of any outstanding balances within 60 days of invoicing date;

•    Complies with agency management system data standards and data integrity (enters and maintains complete and accurate information);

•    Other duties as assigned.

QUALIFICATIONS
EDUCATION / EXPERIENCE

Bachelor’s degree or equivalent combination of education and experience

Five (5) or more years related work experience

Understanding of retirement plan types and operations, as well as knowledge of ERISA guidelines and regulations required

Experience with mid to large (250+) clients

Valid Series 65 license

Securities license (SIE, Series 6 or 7 and 63) preferred

SKILLS

Excellent verbal and written communication and presentation skills

Excellent interpersonal, relationship building, negotiating and problem solving skills

Exceptional attention to detail

Ability and motivation to work independently

Good time management skills

Good planning, organizational and prioritization skills

Advanced analytical skills

Proficient in Microsoft Office products

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