Retirement Plan Advisor - Team Lead

Job Title: Retirement Plan Advisor Location: Mesa, AZ Position Overview The Retirement Plan Adviser will lead the client relationship, providing proactive client service in all phases of client relationship management. The retirement plan adviser’s primary focus is to support the plan sponsor/retirement plan committee by providing fiduciary and plan design guidance while resolving complex and challenging technical issues. The adviser also works to improve plan metrics such as employee participation, deferral rates, and investment diversification in support of positive participant outcomes. Responsibilities Develop and maintain positive relationships with plan sponsors and/or participants and maintain caseload of small to mid‑size clients. Play lead role during plan review meetings, typically presenting the following: plan summary, legislative updates, fiduciary training, plan expense analysis, fund and investment overview, communication and education history and opportunities. Promote, educate, facilitate, and implement plan design and investment program changes to accommodate client goals and objectives. Support client fiduciary matters including coordinating annual compliance notifications with external service partners (e.g., 408b2/404a5 notices, safe‑harbor, QDIA notices) and maintaining copies in a web‑based portal. Facilitate the plan set‑up conversion/onboarding process and ongoing administration of the plan; partner with external service partners on the setup of new and converted plans and fund exchanges. Activities include sample plan documents, kickoff meetings, documentation, timelines, etc. Oversee the ongoing administration, reporting, processing and/or problem resolution for our clients; effectively leverage knowledge and resources of the organization and external service partners’ infrastructure to complete tasks and resolve issues. Provide advice and serve as a professional resource to internal staff and external clients by communicating pension‑related technical knowledge efficiently and effectively through correspondence, presentations and/or consultation. Prepare communication to external service partners regarding plan set up, reporting, annual review, etc.; respond to questions/requests and obtain information necessary to accomplish primary objectives. Provide exceptional client service, consulting on client inquiries, researching and resolving issues, and providing technical expertise on plan and regulatory matters. Develop employee education and communications programs and implement across all plans. Conduct large and small group employee presentations and individual participant one‑on‑one meetings. Troubleshoot plan and participant issues. Triage / delegate issues with corresponding documentation appropriately when unable to resolve independently. Close the loop with others when delegating the responsibility for resolution to external providers or internal resources. Obtain signed copies of all plan‑related legal documents and distribute as appropriate. Seek to improve the organization’s profitability by managing client relationships. Review compliance testing and 5500 preparations as needed. Identify opportunities to refer business to the firm’s wealth management adviser team when appropriate. Assist with other tasks and projects as assigned. Additional Leadership & Growth Responsibilities Manage and mentor a retirement plan associate and/or retirement plan educator, providing guidance, oversight, and professional development support. Delegate and oversee client service tasks to ensure high‑quality delivery and timely execution. Serve as a leader within the retirement plan team, contributing to process improvements and best practices. Opportunity for future growth into senior leadership roles, expanded client relationships, and increased responsibility within the firm. Requirements Bachelor’s degree in business administration or relevant field; master’s degree/MBA, a plus, or equivalent experience. 5+ years of directly related experience in 401k/403b relationship management, plan design, and fiduciary services. FINRA Series 65 license, preferred. Certified Plan Fiduciary Advisor (CPFA) and Qualified 401(k) Administrator (QKA) designations, desired. Strong decision‑making and problem‑solving abilities. Excellent organizational and leadership skills. Ability to take initiative. Outstanding speaking, communication, and interpersonal skills. Ability to communicate effectively with clients (internal and external) at all levels and to represent the organization effectively and professionally. Equal Employment Opportunity Statement We are an equal opportunity employer and are committed to creating an inclusive environment for all employees. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status, or any other protected characteristic under applicable law. #J-18808-Ljbffr Modern Wealth Management