Client Onboarding Analyst - New Plans

POSITION PURPOSE

The Client Onboarding Analyst – New Plans supports the end-to-end onboarding of newly sold 401(k) plans onto Ubiquity’s recordkeeping platform. Working within the New Plan team and reporting to the New Plan Team Lead, this role is responsible for executing plan setup tasks, preparing plan documents, coordinating payroll integration, and managing an active pipeline of new plan cases from contract through go-live. The Analyst serves as the primary point of contact for plan sponsors, financial advisors, and Third Party Administrators throughout the setup process, providing proactive communication, ongoing platform education, and compliance-aware guidance at every milestone. All complex issues, escalations, and cross-functional blockers are routed through the New Plan Team Lead.

CORE RESPONSIBILITIES

New Plan Setup & Document Preparation

• Manage an assigned pipeline of new 401(k) plan cases from initial contract through go-live on Ubiquity’s platform, tracking each case against established milestones and SLAs using Salesforce and internal case management tools; proactively flag cases at risk of delay to the New Plan Team Lead.

• Draft plan documents for new clients based on their selected plan design elections, ensuring all provisions are accurately reflected and in compliance with ERISA, IRS, and DOL requirements.

• Review and verify plan design elections submitted by plan sponsors and advisors, identifying and clarifying any inconsistencies or missing information before plan document preparation begins.

• Establish trust accounts and confirm investment elections are properly configured in accordance with the plan document and client instructions.

• Maintain accurate and up-to-date case records, notes, and milestone documentation in Salesforce and Ubiquity’s recordkeeping system throughout the plan setup lifecycle.

Payroll Integration & Contribution Setup

• Coordinate payroll setup requirements directly with plan sponsors to ensure contribution data, employee census information, and payroll schedules are accurately configured prior to the first payroll submission.

• Guide plan sponsors through the process of connecting their payroll system to Ubiquity’s platform, explaining integration steps, expected timelines, and required actions clearly and proactively.

• Monitor initial payroll submissions after go-live to confirm contributions are processing correctly; identify and troubleshoot discrepancies in contribution amounts, employee eligibility data, or payroll file formats, escalating to the New Plan Team Lead when issues cannot be resolved at the analyst level.

• Document payroll setup configurations and any integration issues encountered for each case, maintaining a clear record in Salesforce for the plan’s ongoing service history.

Client & Advisor Communication

• Serve as the primary point of contact for plan sponsors, financial advisors, and Third Party Administrators throughout the new plan setup process, providing proactive, milestone-based updates on outstanding items and next steps.

• Conduct plan setup kickoff calls to establish expectations, review the onboarding timeline, confirm required actions from each party, and introduce plan sponsors to the Ubiquity platform.

• Deliver ongoing platform education throughout the onboarding lifecycle, including portal navigation, contribution submission, employee enrollment, and plan reporting, ensuring sponsors are fully equipped to manage their plan independently at go-live.

• Follow up in a timely and organized manner to obtain required documentation, signatures, and plan elections, creating appropriate urgency to minimize time to first contribution.

• Escalate complex plan design questions, unresolved setup issues, or cross-functional blockers to the New Plan Team Lead rather than attempting to resolve them independently or routing directly to other departments.

Compliance & Quality Assurance

• Ensure all plan setup tasks are completed in accordance with ERISA, IRS, and DOL requirements, including plan document provisions, required notices, contribution limits, and eligibility rules.

• Review completed plan setup work for accuracy before submission, identifying errors or omissions and correcting them prior to plan go-live.

• Stay current on changes to IRS and DOL regulations, plan contribution limits, and SECURE Act provisions that affect new plan setup and plan document preparation.

• Maintain, follow, and enforce all Ubiquity security policies and procedures at all times.

Cross-Functional Coordination & Escalation

• Coordinate directly with internal teams on routine plan setup tasks and approvals within established processes and authority levels, routing escalated issues or items requiring leadership judgment to the New Plan Team Lead.

• Partner with Sales and Client Experience to ensure a smooth handoff from the point of sale through plan setup, with client expectations clearly established from day one.

• Contribute to team process improvement efforts by identifying recurring setup issues, documentation gaps, payroll configuration challenges, or workflow inefficiencies and surfacing them to the New Plan Team Lead.

• Support the team during high-volume periods by assisting colleagues with case overflow and contributing to shared team priorities as directed by the New Plan Team Lead.

SKILLS & EXPERIENCE

• Experience in the 401(k) or retirement plan industry preferred, including exposure to new plan setup, plan implementation, plan documents, or plan design.

• Working knowledge of 401(k) plan design and administration, including Safe Harbor, traditional 401(k), Profit Sharing, ERISA requirements, and IRS contribution limits preferred.

• Familiarity with payroll integrations, contribution files, census data, and digital plan onboarding workflows a plus.

• Experience in a fintech, SaaS, or technology-driven environment, including API-based integrations or cloud-based recordkeeping platforms, preferred.

• Experience conducting client-facing onboarding or plan setup consultations with plan sponsors and financial advisors preferred.

• Proficiency with CRM and workflow management tools such as Salesforce and Asana; experience with recordkeeping, plan document, compliance testing, or Form 5500 platforms (e.g., FT Williams, ASC) a plus.

• Proficiency in Microsoft Office, particularly Outlook, Excel, and Word.

• Strong attention to detail and ability to manage a high-volume case pipeline while maintaining accuracy and meeting SLAs.

• Excellent written and verbal communication skills with a professional, client-focused approach.

• Ability to work independently and collaboratively, exercise sound judgment, and escalate issues appropriately within established protocols.

• QKA designation or active pursuit of ASPPA or NIPA credentials a plus.

• Bachelor’s degree or equivalent combination of education and experience.

Benefits & Perks

• Health, dental, and vision coverage — 90% of your premium covered, 60% for dependents

• 401(k) with company match up to 4% of your gross annual pay

• $100/month wellness reimbursement + $300 home office stipend

• Fully remote, flexible work culture

Compensation & Schedule

The annual base salary range for this role is $73,000–$83,000, with the opportunity to earn an additional 5% in variable compensation based on performance.

This role is expected to work 8:00 a.m. - 5:00 p.m or 9:00 a.m.–6:00 p.m. Pacific Time to ensure alignment and availability with the team.