Retirement Plan Analyst ERISA Candidates Sample Search Report

95%

R H

ERISA Compliance Analyst at T. Rowe Price

Elizabethtown, North Carolina, United States 20 years

This role explicitly names ERISA Compliance Analyst, performing non-discrimination testing, analyzing regulations, ensuring fiduciary operations, and creating plan documents. ERISA Compliance Analyst (Senior level) at T. Rowe Price handling testing, legal interpretation, and operational compliance. Excellent.

LinkedIn Email Phone

Work Experience

T. Rowe Price

ERISA Compliance Analyst

Qualification Criteria 3 met, 1 not

ERISA knowledge

Business analysis

Compliance oversight

Retirement Plan Analyst

Broker dealer experience

Skills & Expertise

erisa compliance retirement legal discrimination testing regulations strategy mergers acquisitions training projects +3 more

95%

J** E*

Director Advisory Compliance

Charlotte, North Carolina, United States 18 years 8 months

This individual has direct, recent experience in ERISA Compliance roles, including assistant VP levels, within LPL Financial (a major broker-dealer entity), meeting almost all criteria perfectly. Excellent.

LinkedIn Email Phone

Work Experience

Hewitt Financial Services

Brokerage Specialist/Personal Finance Consultant · 4 years 4 months

LPL Financial

Assistant Vice President ERISA Complaince · 1 year

LPL Financial

Senior analyst ERISA compliance · 2 years 9 months

Wells Fargo Advisors, LLC.

Financial Advisor · 3 years 1 month

+ 4 more positions

Qualification Criteria 4 met

ERISA knowledge

Business analysis

Compliance oversight

Retirement Plan Analyst

Broker dealer experience

Skills & Expertise

director compliance brokerage finance erisa operations personal finance

95%

J G

Pension Analyst at Pension Consultants, Inc.

United States 38 years 10 months

Excellent fit based on nearly two decades as a Pension Analyst managing administration, compliance testing, and government forms for qualified plans. Pension Consultants (Analyst, 19yrs) → Milliman (Client Service Mgr). Excellent.

LinkedIn Email Phone

Work Experience

Milliman, Inc.

Client Service Manager · 7 months

Pension Consultants, Inc.

Pension Analyst · 19 years 5 months

Pension Consultants, Inc.

Pension Analyst · 19 years 5 months

Securian formerly Minnesota Mutual

Pension Specialist · 7 years

+ 4 more positions

Qualification Criteria 3 met, 1 not

ERISA knowledge

Business analysis

Compliance oversight

Retirement Plan Analyst

Broker dealer experience

Skills & Expertise

calculations government schedules accounting compliance testing design administration retirement reconciliations reporting director +6 more

95%

L A

Regional Service Director, Central Region at FuturePlan an Ascensus Company

Iowa, United States 27 years 9 months

A very strong candidate whose recent history involves executive leadership over retirement plan services, including compliance and plan design discussions aligning closely with the requirements. SVP of Retirement Plan Services at Heartland Financial USA, Inc. → Regional Service Director at FuturePlan (Ascensus). Excellent.

LinkedIn Email Phone

Work Experience

Heartland Financial USA, Inc.

SVP of Retirement Plan Services · 15 years

Fidelity Investments

401(k) Relationship Manager · 3 years 2 months

FuturePlan, An Ascensus Company

Regional Service Director, Central at FuturePlan an Ascensus Company · 4 years

MetLife

Pension Consultant · 3 years 10 months

+ 1 more positions

Qualification Criteria 3 met, 1 not

ERISA knowledge

Business analysis

Compliance oversight

Retirement Plan Analyst

Broker dealer experience

Skills & Expertise

relationship management best practices customer satisfaction legal compliance cash flow sales presentations retirement director operations compliance management design +8 more

95%

M B

Vice President at Pollard & Associates, Inc.

Baltimore, Maryland, United States 18 years 3 months

Excellent fit for the retirement plan analyst role with deep experience in plan administration and compliance, likely involving ERISA. Pollard & Associates → VP at Pollard & Associates, focuses specifically on retirement plan design, administration, compliance. Strong.

LinkedIn Email Phone

Work Experience

Pollard & Associates, Inc.

Pension Administrator · 9 years 5 months

Pollard & Associates, Inc.

Vice President · 7 years

Mercer Human Resource Consulting

Analyst · 2 years 1 month

Qualification Criteria 3 met, 2 not

ERISA knowledge

Business analysis

Compliance oversight

Retirement Plan Analyst

Broker dealer experience

Skills & Expertise

defined benefit retirement design administration compliance collaboration consultants p less

95%

C D

Retirement Plans Professional

Frederick, Pennsylvania, United States 29 years 11 months

This candidate explicitly details extensive experience in retirement plans, ERISA regulations, and compliance testing. Towers Perrin → Bisys/Ascensus Account Manager roles heavily focused on DC plan administration. Strong.

LinkedIn Email Phone

Work Experience

Towers Perrin

Account Manager · 6 years

Bisys / Ascensus

Account Manager · 4 years 3 months

Cornerstone Advisors Asset Management, Inc.

Client Account Manager · 1 year 10 months

Rohm and Haas

Retirement Plan Specialist · 3 years

+ 5 more positions

Qualification Criteria 3 met, 1 not

ERISA knowledge

Business analysis

Compliance oversight

Retirement Plan Analyst

Broker dealer experience

Skills & Expertise

erisa regulations corrections retirement governance discrimination testing tax administration responsible communications reporting +8 more

95%

J G**

Quality-focused financial services professional specializing in retirement plan management and compliance administration.

Peoria, Illinois, United States 24 years 4 months

This candidate is a strong fit given extensive experience in retirement plan compliance and administration. TIAA → Compliance specialist/Consultant, 24 years total experience. Excellent.

LinkedIn Email Phone

Work Experience

TIAA

Senior National Call Center (NCC) Quality Analyst · 5 years 8 months

New York Life Insurance Company

Senior Representative, Variable Annuities · 4 months

Empower

Registered Financial Customer Service Professional · 4 months

TIAA

Individual Retirement Plan Consultant – I/II/Senior · 7 years 11 months

+ 1 more positions

Qualification Criteria 3 met, 1 not

ERISA knowledge

Business analysis

Compliance oversight

Retirement Plan Analyst

Broker dealer experience

Skills & Expertise

compliance driving consulting retirement planning management security risk finance integrity analysis erisa +8 more

95%

L M

Retirement Plan Administration Expert Client Relationship Builder Operational Excellence Leader

Portland, Maine, United States 19 years 10 months

The headline explicitly describes an expert in retirement plan administration and operational excellence, strongly implying the required skill set, although current title isn't visible. VP/Manager Retirement Service Cent. Highly relevant experience suggested by profile summary. Excellent.

LinkedIn Email Phone

Work Experience

TD Wealth Management

Vice President/Manager Retirement Service Center · 2 years

State of Maine

Notary Public · 3 years 5 months

Lebel & Harriman, LLP

Operations Specialist, Investments · 7 years

TD Wealth Management

Vice President Retirement Plan Advisor · 9 years

+ 2 more positions

Qualification Criteria 4 met, 1 not

ERISA knowledge

Business analysis

Compliance oversight

Retirement Plan Analyst

Broker dealer experience

Skills & Expertise

relationship management operational excellence system implementations data analytics performance metrics detail oriented interpersonal skills client management notary public regulatory compliance financial planning client service +8 more

95%

D* P**

Institutional Retirement Plan Advisor

Carmel, Indiana, United States 26 years 4 months

This person is an experienced Institutional Retirement Plan Advisor actively consulting on retirement programs, service provider management, and investment strategy, hitting almost all requirements directly.

LinkedIn Email Phone

Work Experience

FINRA

FINRA Arbitrator · 1 year 6 months

Lincoln Retirement Plan Services

Strategic Planning & Business Development · 2 years 2 months

John Hancock Retirement Plan Services

National Director, Mid Market Sales · 3 years 3 months

John Hancock Financial Services

Sales Director, Mid/Large Markets · 5 years

+ 6 more positions

Qualification Criteria 5 met

ERISA knowledge

Business analysis

Compliance oversight

Retirement Plan Analyst

Broker dealer experience

Skills & Expertise

retirement strategy management readiness consulting p less distribution tax brokerage foundations finra +8 more

95%

K D

Atlanta, Georgia, United States 34 years 11 months

This candidate has deep, long-term experience as a Retirement Plans Consultant and Manager, covering many required areas. SunTrust → BB&T → Rollins, SME in ERISA and fiduciary oversight, mentions compliance testing and plan design. Excellent.

LinkedIn Email Phone

Work Experience

SunTrust

First Vice President, Relationship Manager, Employee Benefit Solutions · 1 year 7 months

BB&T

Vice President - BB&T Retirement & Institutional Services · 10 years 3 months

Rollins, Inc.

Retirement Benefits Manager · 1 year 1 month

United Bank

Vice President & Trust Officer - Retirement Benefits Group Leader & Relationship Manager · 8 years 3 months

+ 6 more positions

Qualification Criteria 4 met

ERISA knowledge

Business analysis

Compliance oversight

Retirement Plan Analyst

Broker dealer experience

Skills & Expertise

retirement leadership administration compliance design investments communications benefits risk management erisa legal +8 more

95%

R B

Private Sector Client Service

Cincinnati, Ohio, United States 32 years 9 months

This candidate is a strong fit, having deep experience explicitly consulting on plan amendments to avoid ERISA violations and working on large-scale restatements, which aligns heavily with analyst/compliance roles. Ex-Fidelity (Senior Compliance Specialist, Plan Admin) → Morgan Stanley (Financial Advisor). Excellent.

LinkedIn Email Phone

Work Experience

Nationwide Insurance

Plan Administrator · 12 years 4 months

Fidelity Investments

Senior Retirement Specialist · 8 years

Fidelity Investments

SENIOR COMPLIANCE SPECIALIST · 11 years 5 months

Morgan Stanley

Financial Advisor · 1 year 1 month

Qualification Criteria 4 met

ERISA knowledge

Business analysis

Compliance oversight

Retirement Plan Analyst

Broker dealer experience

Skills & Expertise

compliance retirement erisa assurance regulations investments prototype

95%

D C

Retirement Plan Administrator at Compensation Planning Inc.

Warwick, Rhode Island, United States 34 years 2 months

This candidate performs core retirement plan administration functions including compliance testing (ADP/ACP, 410(b)), valuations, and serves as primary contact, fitting the analyst/oversight need perfectly. Administrator → Client Service Analyst (4.3 yr). Excellent.

LinkedIn Email Phone

Work Experience

Compensation Planning Inc.

Retirement Plan Administrator

Mercer

Client Service Analyst · 4 years 4 months

First Data Corporation

Senior Investor Service Specialist / Quality Control Analyst · 6 years 4 months

Merrill Lynch, Princeton Retirement Group(formerly Amvescap Retirement)

Team Leader / Client Service Manager · 9 years

+ 2 more positions

Qualification Criteria 4 met, 1 not

ERISA knowledge

Business analysis

Compliance oversight

Retirement Plan Analyst

Broker dealer experience

Skills & Expertise

financial services fund administration relationship management client service call center service client quality control retirement brokerage administration management compliance +8 more

95%

J* D**

Partner and Manager of Retirement Plans and ERISA Support at Enhanced Retirement Solutions

Rochester, New York, United States 39 years

This candidate presents as a highly experienced retirement plan manager deeply involved in ERISA support, compliance testing, and government reporting, fitting the analyst/oversight core. EPIC Advisors → Chapman, Collins, Agostinelli & Shaw, PC, CPAs → Beltz Ianni & Associates → Enhanced Retirement Solutions. Director/Manager level. Excellent.

LinkedIn Email Phone

Work Experience

EPIC Advisors, Inc.

Director of Consulting and Risk Management · 17 years 8 months

Chapman, Collins, Agostinelli & Shaw, PC, CPAs

Manager of Employee Benefit Plans · 10 years

Beltz Ianni & Associates

Partner and Manager of Retirement Plans and ERISA Support

Enhanced Retirement Solutions

Manager of Retirement Plans and ERISA Support

+ 2 more positions

Qualification Criteria 4 met

ERISA knowledge

Business analysis

Compliance oversight

Retirement Plan Analyst

Broker dealer experience

Skills & Expertise

retirement erisa administration compliance testing government reporting management design analysis audit consulting +7 more

95%

B* W**

Financial Advisor at Asset Strategy

Camp Hill, Pennsylvania, United States 32 years

Excellent fit for retirement plan focus with specific compliance management roles in the field. Freelance Consultant (7yr) → Sr Consultant (Asset Strategy) → Retirement Plan Consultant/Manager (Alliance Benefit Group, 10yr) → Compliance Manager (T. Rowe Price, 10yr). Strong certifications like CPC/QKA reinforce expertise. Strong.

LinkedIn Email Phone

Work Experience

Freelance

Retirement Plan Consultant · 7 years 3 months

Asset Strategy

Senior Consultant · 5 years 9 months

Alliance Benefit Group

Retirement Plan Consultant and Manager · 10 years

Asset Strategy Retirement Plan Consultants

Financial Advisor · 3 years

+ 1 more positions

Qualification Criteria 3 met, 2 not

ERISA knowledge

Business analysis

Compliance oversight

Retirement Plan Analyst

Broker dealer experience

Skills & Expertise

retirement compliance

95%

M S

Sr Compliance Advisor at Securian Financial Group

United States 27 years 3 months

This professional is currently in a Senior Advisor role focused heavily on analyzing client situations, plan design recommendations, and interpreting regulations for qualified plans, indicating strong analyst and compliance overlap. Previous TPA management shows depth, but no specific broker dealer mention. Securian Financial Group → Big 4 accounting firm, BS Business Management. Excellent.

LinkedIn Email Phone

Work Experience

Securian Financial Group

Sr Compliance Advisor

Qualification Criteria 4 met, 1 not

ERISA knowledge

Business analysis

Compliance oversight

Retirement Plan Analyst

Broker dealer experience

Skills & Expertise

big 4 business management human resources retirement compliance consulting designs legislation regulations training attorneys accountants +7 more

95%

J* B**

Senior Director, Benefits at XPO

United States 28 years 4 months

This senior leader has extensive experience directly managing retirement plans, compliance, and operations, including specific broker-dealer support. XPO (Director/Senior Director Benefits/Compliance) → The Standard → Ragan MacKenzie/Wells Fargo Securities (Sales Asst/Broker-dealer support) → First Investors Life. Senior.

LinkedIn Email Phone

Work Experience

XPO

Senior Director, Benefits

XPO

Senior Administrator, Retirement Plans

The Standard

Manager, Plan Services

Ragan MacKenzie/ Wells Fargo Securities

Registered Sales Assistant

+ 5 more positions

Qualification Criteria 4 met, 1 not

ERISA knowledge

Business analysis

Compliance oversight

Retirement Plan Analyst

Broker dealer experience

Skills & Expertise

customer service operations customer service defined benefit defined contribution investment banking director benefits retirement driving sales compliance brokerage +8 more

95%

A M

Member Relations, Pension Resource Institute and Group Plan Systems

Mount Vernon, Iowa, United States 16 years 11 months

This candidate has deep experience in retirement plan technology, fiduciary resources, and direct ERISA compliance within a pension/consulting environment. Experience in planning/development of retirement solutions, fiduciary resources, regulatory/retirement education, and ERISA compliance. Pension Resource Institute → Cambridge Investment Research (Fiduciary Services/Advisory Solutions). Strong.

LinkedIn Email Phone

Work Experience

Pension Resource Institute, LLC and Group Plan Systems

President, Member Relations

Cambridge Investment Research, Inc.

AVP, Advisory Solutions- Plans and Planning · 4 months

Cambridge Investment Research, Inc.

AVP, Fiduciary Services · 1 year 11 months

Cambridge Investment Research, Inc.

Senior Director, Fiduciary Services · 12 years

Qualification Criteria 5 met

ERISA knowledge

Business analysis

Compliance oversight

Retirement Plan Analyst

Broker dealer experience

Skills & Expertise

planning retirement technology education erisa compliance management tax government benefits funding director +4 more

95%

J D

Director of Compliance at Pinnacle an NPPG Company

Covington, Louisiana, United States 10 years 7 months

This Director of Compliance has extensive direct experience managing compliance and administration functions within the retirement plan industry. Compliance Director (6+ yrs) → 401K Plan Administrator (1.5 yrs) → Compliance Mgr. Excellent.

LinkedIn Email Phone

Work Experience

The Haslauer Group, Inc.

401K Plan Administrator · 1 year 7 months

Don's Seafood and Steakhouse

Bookkeeper / Office Manager · 1 year

Pinnacle, an NPPG Company

Director of Compliance · 6 years 3 months

Pinnacle Financial Services

Compliance Department Manager · 6 years 4 months

+ 1 more positions

Qualification Criteria 3 met, 2 not

ERISA knowledge

Business analysis

Compliance oversight

Retirement Plan Analyst

Broker dealer experience

Skills & Expertise

organizational leadership account management financial accounting journal entries compliance retirement leadership management accounting quickbooks payroll finance +7 more

95%

M O

Sr Quality Specialist at Principal Financial Group

Grand Island, Nebraska, United States

This senior specialist role directly mentions fiduciary support, plan design consulting, and compliance within retirement plans, strongly implying ERISA knowledge and analyst/consultant duties, working with broker dealers indirectly. Principal Financial Group (Sr Quality Specialist) focusing on 401k/ERISA consulting. Excellent.

LinkedIn Email Phone

Work Experience

Principal Financial Group

Sr Quality Specialist

Qualification Criteria 4 met

ERISA knowledge

Business analysis

Compliance oversight

Retirement Plan Analyst

Broker dealer experience

Skills & Expertise

retirement design consulting compliance education responsible erisa insurance securities dealers design consulting defined benefit +1 more

95%

B B

Retirement Plan Consultant

United States 13 years 1 month

Direct experience in TPA roles involving auditing plan assets, creating valuations, compliance testing, and tax submissions is an excellent match to the Analyst/Compliance aspects of the role. Pension Planning Concepts → Wells Thomas (TPA roles). Excellent.

LinkedIn Email Phone

Work Experience

Pension Planning Concepts, Inc.

Pension Consultant · 2 years 3 months

Wells Thomas, LLC

Retirement Plan Administrator · 1 year 2 months

iRunCT, LLC

Owner

PASI, LLC

Retirement Plan Consultant

Qualification Criteria 4 met, 1 not

ERISA knowledge

Business analysis

Compliance oversight

Retirement Plan Analyst

Broker dealer experience

Skills & Expertise

retirement auditing tax processing loans technology microsoft server compliance testing corrections distribution +3 more

95%

E C

Vice President at Actuarial Ideas Inc/President at Fiduciary Support Services, Inc.

Monsey, New York, United States 17 years 11 months

This former VP/President clearly has deep background consulting for qualified retirement plans, likely covering all required areas. Actuarial Ideas Inc → Fiduciary Support Services, Inc., BA Marketing/Finance, QPFC certification. Strong.

LinkedIn Email Phone

Work Experience

Actuarial Ideas Inc

Vice President · 17 years

Fiduciary Support Services, Inc.

President · 7 years 11 months

Qualification Criteria 3 met, 1 not

ERISA knowledge

Business analysis

Compliance oversight

Retirement Plan Analyst

Broker dealer experience

Skills & Expertise

consulting retirement

95%

E* S**

Relationship Executive at OneAmerica Retirement Services

Milwaukee, United States 29 years 6 months

Excellent fit, explicitly mentioning working closely on retirement plan design, compliance with ERISA tax law, and client satisfaction/retention in high-level roles at major retirement service providers. BMO VP/Relationship Manager → OneAmerica Relationship Director. Excellent.

LinkedIn Email Phone

Work Experience

BMO Retirement Services

Vice President; Relationship Manager · 16 years 5 months

OneAmerica Retirement Services

Relationship Director · 10 years 1 month

Wachovia Securities, LLC

Financial Advisor · 8 months

Marshall & Ilsley Trust Co

Trust Officer; Administrative Coordinator · 10 months

+ 2 more positions

Qualification Criteria 4 met

ERISA knowledge

Business analysis

Compliance oversight

Retirement Plan Analyst

Broker dealer experience

Skills & Expertise

customer relations customer satisfaction financial statements meeting facilitation microsoft excel microsoft office microsoft powerpoint microsoft windows microsoft word sales tax tax planning tax law +8 more

95%

L B

Managing Director and DFW Practice Leader at SageView Advisory Group

Colleyville, Texas, United States 22 years 5 months

This leader explicitly details deep ERISA expertise in designing and managing 401(k) and pension plans for institutional clients. MD at SageView → leading institutional retirement consulting practice, emphasizing fiduciary guidance and plan design consulting. Strong explicit ERISA focus. Excellent.

LinkedIn Email Phone

Work Experience

Amegy Bank

Retirement Plans & Asset Management - Officer · 2 years 7 months

SageView Advisory Group

Managing Director and Practice Leader · 7 years 2 months

Dulins Dodgers

Baseball Coach - Dulins Dodgers · 8 years 4 months

Lockton Companies

Principal/Partner - Advisor, Fiduciary, Employee Benefit Consultant · 10 years 1 month

+ 1 more positions

Qualification Criteria 3 met, 1 not

ERISA knowledge

Business analysis

Compliance oversight

Retirement Plan Analyst

Broker dealer experience

Skills & Expertise

design consulting financial planners strategic partnerships due diligence employee engagement program development business development relationship management series 7 health insurance asset management team management +8 more

90%

S* M**

Senior Plan Administrator

Stuart, Florida, United States 20 years 4 months

Excellent match, as the current/recent role is explicitly Retirement Plan Analyst at Vanguard involving policy development, training, and client relations for retirement plans. Vanguard Analyst → Conversion Specialist. Excellent.

LinkedIn Email Phone

Work Experience

Vanguard

Data Specialist · 8 months

Vanguard

Retirement Plan Conversion Specialist · 1 year 1 month

Vanguard

Retirement Plan Analyst

PCS Retirement

Senior Retirement Plan Analyst · 2 years

+ 1 more positions

Qualification Criteria 4 met, 1 not

ERISA knowledge

Business analysis

Compliance oversight

Retirement Plan Analyst

Broker dealer experience

Skills & Expertise

pensions compliance retirement testing administration planning distribution proactive training efficiency design processing +7 more

90%

F N

Director, Senior ERISA Consultant

Mansfield, Massachusetts, United States 29 years 9 months

Deep, focused experience as Director/Consultant in ERISA Compliance across major financial firms, indicating high-level analysis and oversight. Director, ERISA Compliance → Sr. ERISA Specialist → Dir, Sr. ERISA Consultant. Excellent.

LinkedIn Email Phone

Work Experience

John Hancock Life Insurance Company (U.S.A.)

Director, ERISA Compliance and Consulting · 7 years 1 month

New York Life Benefits Services, LLC

Sr. ERISA Compliance Specialist · 4 years

The Hartford

Director, ERISA Compliance · 3 years 10 months

John Hancock Retirement

Director, Senior ERISA Consultant · 6 years 11 months

+ 2 more positions

Qualification Criteria 4 met, 1 not

ERISA knowledge

Business analysis

Compliance oversight

Retirement Plan Analyst

Broker dealer experience

Skills & Expertise

director erisa compliance consulting

90%

J* C**

Executive Vice President at Alliant Insurance Services

New York, New York, United States 31 years 5 months

This candidate has extensive executive experience building and consulting on 401(k) brokerages, directly aligning with the core functions. Wachovia (401k) → Thesco Retirement Planning (President) → Alliant. Excellent.

LinkedIn Email Phone

Work Experience

Tribus / Wachovia

Assoicate Director of 401(k) Retirement Plans · 6 years 8 months

Thesco Retirement Planning Services LLC

President · 11 years 1 month

Alliant Insurance Services

Senior Vice President · 19 years 1 month

Alliant Insurance Services

Executive Vice President

Qualification Criteria 3 met

ERISA knowledge

Business analysis

Compliance oversight

Retirement Plan Analyst

Broker dealer experience

Skills & Expertise

securities llc insurance finra retirement consulting 401k director brokerage

90%

K R

Senior Specialist, ERISA Compliance & Consulting

Savannah, Georgia, United States 12 years 3 months

This candidate has direct, senior-level experience titled ERISA Compliance & Consulting at Charles Schwab, strongly hitting the regulatory and plan knowledge requirements, although the Analyst title is missing and Business Analysis/Broker Dealer overlap is potential but unconfirmed. Business Development Director → Account Manager → Technician → Senior Specialist, ERISA Compliance & Consulting at Charles Schwab (4 years). Excellent.

LinkedIn Email Phone

Work Experience

SCI inc.

Business Development Director · 1 year 10 months

Elevate Technologies Corporation

Business Development Account Manager, Partner · 3 years 2 months

AVSIGroup

Technician · 2 years 4 months

Charles Schwab

Senior Specialist, ERISA Compliance & Consulting · 4 years 1 month

+ 1 more positions

Qualification Criteria 3 met, 1 not

ERISA knowledge

Business analysis

Compliance oversight

Retirement Plan Analyst

Broker dealer experience

Skills & Expertise

erisa compliance consulting director business development

90%

T* S**

Relationship Management | Retirement Planning | ESOP | ERISA Regulations | Transitions

Milwaukee, United States 26 years 7 months

Excellent background combining ERISA documentation/compliance, plan administration, and transition consulting across major financial institutions. Voya → BMO (Transition Services VP) → M&I Bank (Recordkeeper) → OneAmerica (Field VP/Consulting on compliance). President/VP Level.

LinkedIn Email Phone

Work Experience

Voya Financial

AVP, Regional Client Relationship Management · 9 months

BMO Global Asset Management

Manager of Transition Services/Vice President · 2 years 5 months

M&I Bank

Senior Participant Recordkeeper · 6 years 5 months

M&I Bank

Administrative Coordinator · 1 year 2 months

+ 5 more positions

Qualification Criteria 4 met, 1 not

ERISA knowledge

Business analysis

Compliance oversight

Retirement Plan Analyst

Broker dealer experience

Skills & Expertise

management consultants administration sales presentations erisa regulations compliance retirement mergers acquisitions pricing +8 more

90%

S R

Director- Retirement Plan Compliance at Shepherd Financial

Houston, Texas, United States 7 years 8 months

Strong fit with Director level compliance experience and direct ERISA focus, including time at Charles Schwab which implies broker dealer exposure. Shepherd Financial Director → Charles Schwab, focused on ERISA/Compliance. Excellent.

LinkedIn Email Phone

Work Experience

Shepherd Financial, LLC

Director- Retirement Plan Compliance · 4 months

Charles Schwab

ERISA Compliance Analyst · 1 year

Charles Schwab

ERISA Compliance Specialist · 2 years 5 months

TCG, a HUB International Company

ERISA Compliance Sr. Specialist · 1 year 6 months

+ 1 more positions

Qualification Criteria 5 met

ERISA knowledge

Business analysis

Compliance oversight

Retirement Plan Analyst

Broker dealer experience

Skills & Expertise

retirement consulting management erisa compliance director benefits reporting government operations mentoring projects +8 more

90%

M W

Sr. 401(k) Compliance Manager at Betterment

West Islip, New York, United States 17 years 3 months

Strong recent management experience in 401(k) compliance combined with QKA and Series 99 certifications points to a very relevant background, though the analyst title isn't explicit in recent roles. Betterment (Sr. 401(k) Compliance Manager) → FM International Services → adidas → Betterment. Strong.

LinkedIn Email Phone

Work Experience

FM International Services (NY), Ltd.

Pension Administrator · 4 years 2 months

adidas

Manager · 5 years 5 months

Betterment

Sr. 401(k) Compliance Manager · 2 years 4 months

Betterment

401(k) Compliance Manager · 2 years 5 months

+ 2 more positions

Qualification Criteria 2 met, 1 not

ERISA knowledge

Business analysis

Compliance oversight

Retirement Plan Analyst

Broker dealer experience

Skills & Expertise

compliance operations research

Candidate Profiles

R**** H****

Work Experience

Qualification Criteria 3 met, 1 not

Skills & Expertise

J**** E***

Work Experience

Qualification Criteria 4 met

Skills & Expertise

J**** G****

Work Experience

Qualification Criteria 3 met, 1 not

Skills & Expertise

L**** A****

Work Experience

Qualification Criteria 3 met, 1 not

Skills & Expertise

M**** B****

Work Experience

Qualification Criteria 3 met, 2 not

Skills & Expertise

C**** D****

Work Experience

Qualification Criteria 3 met, 1 not

Skills & Expertise

J** G****

Work Experience

Qualification Criteria 3 met, 1 not

Skills & Expertise

L**** M****

Work Experience

Qualification Criteria 4 met, 1 not

Skills & Expertise

D*** P****

Work Experience

Qualification Criteria 5 met

Skills & Expertise

K**** D****

Work Experience

Qualification Criteria 4 met

Skills & Expertise

R**** B****

Work Experience

Qualification Criteria 4 met

Skills & Expertise

D**** C****

Work Experience

Qualification Criteria 4 met, 1 not

Skills & Expertise

J*** D****

Work Experience

Qualification Criteria 4 met

Skills & Expertise

B*** W****

Work Experience

Qualification Criteria 3 met, 2 not

Skills & Expertise

M**** S****

Work Experience

Qualification Criteria 4 met, 1 not

Skills & Expertise

J*** B****

Work Experience

Qualification Criteria 4 met, 1 not

Skills & Expertise

A**** M****

Work Experience

Qualification Criteria 5 met

Skills & Expertise

J**** D****

Work Experience

Qualification Criteria 3 met, 2 not

Skills & Expertise

M**** O****

Work Experience

Qualification Criteria 4 met

Skills & Expertise

B**** B****

Work Experience

Qualification Criteria 4 met, 1 not

R H

J** E*

J G

L A

M B

C D

J G**

L M

D* P**

K D

R B

D C

J* D**

B* W**

M S

J* B**

A M

J D

M O

B B

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F N

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K R

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