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TPA Operations & Compliance Lead

TPA Operations & Compliance Lead

KEATINGDallas, TX, US
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At Keating and Associates, each individual has a unique ability, a unique story, and a unique contribution that is vital to our success.

With diverse experiences, cultures, backgrounds, and beliefs we are a better company, and we better serve our valued clients.

True teamwork is only possible when we embrace that our differences make us better together.

By creating an environment where people are welcomed and equipped to do their best, we fully embrace our core values of excellence, abundance mindset, and teamwork.  What Keating and Associates can offer you!  Professional Development  9 paid holidays, including your birthday and a floating holiday!  401(k) with company match   Employer-Paid Disability, Life Insurance, and Employee Assistance Program  Health, Vision, and Dental Plans   Dependent Care and Flexible Spending Accounts   Paid Time Off  Fun Company Events such as Lunch & Learns, Virtual Staff Hangouts, Annual All Company Weekend, and more!  Learn more about us at https :

  • / / keatinginc.com / why-keating .  Job Summary  The TPA Operations & Compliance Lead provides peer-level leadership, guidance, and workflow coordination within the TPA Department, ensuring that processes are streamlined, organized, compliant, and consistently followed.
  • This position develops and facilitates training for peers, supports regulatory compliance initiatives, and supports the department through communication and client service processes.
  • The administration also plays a critical role in the annual plan cycle by preparing plan reports, testing, valuations, distributions, and audits on select plans.
  • This position does not carry supervisory responsibilities but influences team performance through quality reviews, mentorship, and collaborative workflow coordination.

The role requires research skills, independent judgment, and initiative to maintain compliance and drive operational efficiency.  This position is non-exempt, can be conducted remotely or in one of our office locations, and reports to the TPA Department Manager.  Responsibilities include, but are not limited to :

  • Operational Leadership & Workflow Management  Coordinate and monitor workflow progress with team members  Review and verify work for accuracy and compliance  Set precedents and adapt procedures in relation to current and new regulations  Provide operational support and recommend enhancements to the TPA Department Manager  Maintain digital, automated, and manual filing systems  Verify and organize client data  Ensure documents are sent, received, and processed in a timely manner  Training Ownership  Develop and deliver training to team members  Mentor and guide peers through clear direction, constructive feedback and positive example   Compliance Oversight  Draft and finalize retirement plan notices for sponsors, participants, and advisors  Interpret plan rules to ensure compliance with plan documents  Draft and process restatements and amendments  Perform and communicate corrective actions, ensuring proper documentation  Conduct internal audits of CRM records and collaborate with IT Systems Administrator on technology compliance  Support external audits and ensure Schedule A fulfillment in coordination with KFAS Compliance Administration Team  Plan Administration  Perform accounting work on retirement plan annual valuations  Perform and approve distribution and loan processing  Prepare annual reports, including government forms and regularly scheduled reports  Test for plan limits to maintain regulatory compliance  Grow and maintain client relationships through calls and emails  Maintain up to date professional and field-related knowledge regarding retirement plan regulations  Desired skills and qualifications include, but are not limited to :   QKA or ability to obtain within 12 months  Strong follow-through, prioritization, and process development skills  Research-oriented with ability to synthesize information into actionable processes  Demonstrated initiative in solving problems and implementing solutions  Detail-oriented with excellent time management and organizational skills  Technologically savvy and adaptable to new systems  Effective communicator, both internally and externally  Experience in a customer service capacity  Skilled in project management and mentoring  College degree or equivalent preferred  Powered by JazzHR
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    Compliance Lead • Dallas, TX, US

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