Senior Vice President, ERISA Compliance
Howard-Sloan Search
Senior Vice President, ERISA Compliance
[NYC HYBRID]
A leading financial services and investment platform, is looking for a Senior Vice President of ERISA Compliance to lead its firm-wide compliance program for ERISA, Department of Labor (DOL) regulations, prohibited transaction exemptions and Qualified Professional Asset Manager (QPAM) requirements. You would be the firm's main subject matter expert on ERISA obligations across its registered investment advisers, collective investment trusts (CITs), retirement-focused investment products and retirement-plan clients.
You'll build and maintain the policies, procedures, testing programs, training and governance that keep the firm compliant with ERISA fiduciary standards and the QPAM exemption. You'll also play a key role in regulatory exams, new product launches and transaction reviews.
Key Responsibilities
ERISA Compliance Oversight
- Work with the Chief Compliance Officer to build, maintain and improve ERISA compliance policies, procedures, controls and monitoring programs.
- Give regulatory guidance on fiduciary duties, plan-asset rules, prohibited transactions, party-in-interest restrictions and the exemptions that apply.
- Advise business teams on how ERISA affects investment products, distribution, service arrangements and operations.
- Track legal and regulatory changes from the DOL, IRS, SEC and other regulators, and assess how they affect the business.
- Design and run risk-based compliance reviews of ERISA and retirement-plan activities.
- Put monitoring programs, testing protocols, certifications and issue-management processes in place.
QPAM Compliance Program Management
- Oversee the firm's ongoing compliance with the QPAM Exemption and related requirements.
- Maintain and run QPAM monitoring and testing programs, including annual and periodic certifications.
- Coordinate reviews of QPAM eligibility criteria, including assets under management, shareholder equity, affiliate requirements and integrity standards.
- Keep the documentation that shows compliance with QPAM conditions and regulatory requirements.
- Work with Legal and business teams on transactions that may rely on the QPAM exemption or other prohibited transaction exemptions.
Qualifications
- Bachelor's degree required; a J.D., MBA or other advanced degree is preferred.
- 10+ years of experience in investment adviser, asset management, retirement, ERISA, legal or compliance roles.
- Deep knowledge of ERISA fiduciary standards, prohibited transaction rules and DOL regulations.
- Familiarity with CITs, private funds, alternative investments and institutional asset management.
- Experience building compliance programs, controls, testing frameworks and governance processes.
- Hands-on experience with QPAM compliance programs and prohibited transaction exemptions.
- Strong analytical, communication and problem-solving skills.
Vacancy posted 1 hour ago
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