Director of ERISA Compliance

Human Interest

. Lead and direct the compliance program to ensure adherence to ERISA, DOL, and IRS regulations across 401(k) plan operations .

Posted 11/4/2026full-timeRemote • United StatesLead💰 $150,000 - $180,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates extensive expertise in ERISA compliance, including the development and implementation of technology-driven compliance frameworks and automated monitoring systems. Proven ability to lead compliance initiatives, manage cross-functional teams, and advise on regulatory risks while ensuring adherence to DOL and IRS regulations.

Highest-signal resume keywords

ERISA ComplianceLeadership in Retirement Plan AdministrationCompliance Technology SolutionsRegulatory Reporting SystemsData-Driven Compliance Management

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

401(k) Plan AdministrationNondiscrimination TestingFiduciary OversightCompliance Framework DevelopmentAutomated Testing SystemsProcess ImprovementRoot-Cause AnalysisCompliance Policy DevelopmentCrisis Management ProtocolsRegulatory Risk Assessment

Soft Skills

Exceptional Communication SkillsCoaching and MentoringStakeholder EngagementCross-Functional CollaborationCrisis Management

Tools & Technologies

JiraGeminiSalesforceHexCompliance Software

Certifications & Qualifications

QKAQPARPFCEBSCPCJuris Doctor

Industry Keywords

ERISADOLIRSFintechTPASaaSRegulatory TechnologyCompliance AutomationAI Applications in ComplianceEPCRS

About the role

Key responsibilities & impact

Lead and direct the compliance program to ensure adherence to ERISA, DOL, and IRS regulations across 401(k) plan operations
Modernize compliance workflows and build cross-functional feedback loops with Customer Onboarding, Customer Success, and Product
Perform root-cause analysis on errors and delinquencies
Develop and implement technology-driven compliance frameworks that scale with the client base
Drive technology-enabled initiatives with Product to improve platform-wide plan compliance health
Design and oversee automated compliance monitoring systems
Build and manage dashboards tracking team SLAs, operational metrics, and statutory regulatory deadlines
Partner with Product, Operations, and Technology on feature rollouts, system copy, and marketing collateral for regulatory alignment
Lead Customer Advocacy and incident management for high-level escalations with Legal
Oversee fiduciary governance and documentation of fiduciary decisions
Lead compliance technology initiatives, including plan document automation, testing workflows, and regulatory reporting systems
Manage relationships with external auditors, regulatory bodies, and compliance consultants
Drive process improvement through automation and optimization
Advise executive leadership on compliance risks and operational failures; own strategic remediation solutions and serve as primary contact for regulatory inquiries and examinations
Develop and maintain compliance policies, procedures, and training programs
Lead crisis management protocols for compliance-related issues
Coach and mentor frontline compliance managers

Requirements

What you’ll need

10+ years of experience in ERISA compliance
At least 5 years in leadership roles within retirement plan administration
Current ERISA-related professional certification (QKA, QPA, RPF, or equivalent)
Proven track record leveraging technology to drive compliance efficiency and scalability
Experience with 401(k) plan administration, including nondiscrimination testing, plan document maintenance, and fiduciary oversight
Ability to develop compliance frameworks and processes that drive measurable results
Experience implementing compliance technology solutions and automated testing systems
Exceptional communication skills and ability to translate complex regulatory requirements for diverse stakeholders
Data-driven approach to compliance management and risk assessment
Advanced ERISA certifications (CEBS, CPC) preferred
Juris Doctor with emphasis on ERISA, employee benefits, or administrative law preferred
Experience within a high-growth fintech, modern TPA, or SaaS retirement platform preferred
Experience scaling compliance functions from startup to enterprise stage preferred
Background in regulatory technology or compliance software implementation preferred
Experience managing remote and in-office compliance teams preferred
Knowledge of AI and machine learning applications in compliance preferred
Familiarity with workflow automation tools such as Jira and Gemini, and dashboarding software such as Salesforce and Hex preferred
Familiarity with IRS EPCRS and DOL VFCP/DFVCP preferred

Benefits

Comp & perks

Base salary is one component of the overall total rewards package; bonuses, commissions, and equity may be offered
401(k) with dollar-for-dollar employer match up to 4% of compensation, immediately vested, with $0 plan fees
Health insurance
Dental insurance
Vision insurance
Competitive time off
Parental leave
Addition Wealth: unlimited access to digital tools, financial professionals, and a knowledge center for equity and financial wellness
Lyra enhanced mental health support for employees and dependents
Carrot fertility healthcare and family-forming benefits
Candidly student loan resources
Monthly work-from-home stipend
Quarterly lifestyle stipend
Team-building experiences, virtual social events, and team offsites