Manage end-to-end onboarding of new 401(k) plans, ensuring compliance with ERISA, IRS, and DOL requirements.
Coordinate payroll integration and provide proactive communication to plan sponsors, advisors, and TPAs.
Maintain accurate case records in Salesforce and contribute to process improvements.
Ubiquity provides affordable retirement solutions and customer support to empower small businesses. The company fosters a remote-first, inclusive culture with a focus on employee well-being.
Provide senior-level compliance consulting services to investment advisors.
Manage ongoing client relationships and deliver high-quality service.
Serve as a senior subject matter resource for consultants across the organization.
Comply is a leading provider of compliance SaaS and consulting services for the global financial services sector. With more than 5,000 clients and hundreds of employees across the globe, Comply empowers Chief Compliance Officers and their teams to proactively manage regulatory obligations, mitigate risk, and scale with efficiency and confidence.
Execution of the risk-based branch exam program in FINRA-registered and non-registered Private Client Group branches across the country.
Clear communication of all exam findings to branch management, exam managers and compliance leadership.
Ensure risks and adverse trends are identified and escalated.
Raymond James is a diversified financial services company providing wealth management, capital markets, asset management, banking and other services to individuals, corporations and municipalities. They have locations and subsidiaries across the United States, Canada, the United Kingdom and Germany.