Senior Compliance Lead

TIAA

. Evaluate defined contribution retirement plan documents for internal recordkeeping problems, compliance issues, and client concerns .

Posted 9/23/2026full-timeUnited StatesSenior💰 $124,000 - $141,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Expertise in evaluating and ensuring compliance of defined contribution retirement plans, with a strong focus on regulatory knowledge, plan design, and client consultation. Proven ability to analyze complex operational issues and develop strategies that align with best practices in the industry.

Highest-signal resume keywords

Pension/ERISA ExpertisePlan Document Review and CreationRegulatory Compliance AnalysisClient Consultation and Relationship ManagementJuris Doctor Designation

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Defined Contribution Retirement PlansPlan AdministrationPlan DesignRegulatory ChangesComparative AnalysisOperational Error ResolutionGrandfathered Provisions UnderstandingTtemplated Plan Document CreationClient Needs AnalysisConsultative Services

Soft Skills

Excellent Oral CommunicationExcellent Written CommunicationExcellent Listening SkillsTime ManagementProblem Solving

Certifications & Qualifications

Juris DoctorQKATGPC

Industry Keywords

Defined Contribution Plans403(b) Plans401(a)/(k) PlansNonqualified Deferred Compensation PlansMoney Purchase PlansProfit Sharing PlansChurch PlansCompliance IssuesCorporate Mergers and AcquisitionsLegislative Developments

About the role

Key responsibilities & impact

Evaluate defined contribution retirement plan documents for internal recordkeeping problems, compliance issues, and client concerns
Provide new plan setup and review suggestions for plan design and administrative enhancements
Provide comparative analysis of plan provisions and protected benefits for corporate mergers and acquisitions
Research and resolve complex operational and regulatory compliance issues
Analyze options when operational errors are discovered and communicate findings, implications, and alternative courses of action
Analyze the impact of new regulations and legislation on client plan needs and operational processes
Develop strategies to influence client decisions and align with best practices
Maintain advanced regulatory knowledge and understanding of industry trends
Educate team members, business partners, and clients about legislative and regulatory developments
Serve as lead subject matter expert on defined contribution retirement plan document compliance
Represent the department in cross-functional and strategic initiatives
Deliver consultative services for complex plans, influential clients, and high-AUM clients

Requirements

What you’ll need

5+ years of work experience required
Licensed (or previously licensed) attorney with experience specifically related to Pension/ERISA
Demonstrated experience reviewing, consulting on, and creating plan documents for 403(b), 401(a)/(k), nonqualified deferred compensation plans, money purchase, profit sharing, and church plans
Understanding of grandfathered provisions when applicable
Experience creating/updating templated plan documents based on regulatory changes
Understanding of plan administration, plan design, plan provisions, and product offerings
Juris Doctor designation preferred
Industry designations such as QKA or TGPC preferred
Excellent oral, written, and listening skills
Ability to work independently and develop strong relationships
Ability to collaborate with internal business partners, vendors, clients, and consultants
Excellent time management skills
Proven ability to solve problems and resolve conflicts
Sedentary work

Benefits

Comp & perks

Superior retirement program
Competitive health benefits
Wellness offerings
Work-life offerings
Financial well-being support
Learning experiences and development pathways
AI tools and future-focused skills