Posted 4 days ago
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**Manager, Compliance - Handle Nondiscrimination Testing & Form 5500 Services** Lead client interactions for Nondiscrimination Testing (NDT), Form 5500, and other special testing services. Manage client relationships and collaborate with internal teams to ensure successful year-end testing and processing. Requires a Bachelor's degree, defined contribution client service experience, and strong communication, organization, and leadership skills. ASPPA credentials a plus.
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Full Job Description
Job Description:
The Role
Are you looking for an exciting and challenging client facing role where you get to engage and establish a relationship with Plan Sponsors day in and day out? Do you like to learn new things and think creatively? Fidelity's Testing and Reporting Services (TRS) team is seeking an experienced defined contribution compliance professional. This position acts as the primary contact for all Nondiscrimination Testing (NDT) and Form 5500 related services, encompassing client engagement, education, and consultation for NDT, Form 5500, PYES, and other special testing services.
The Expertise and Skills You Bring
- Bachelors Degree or equivalent is required preferably in Math, Finance, Accounting, Business or other related field
- Defined Contribution client service experience required including consultation, ability to handle intensified issues, provide sales support and assist in implementing services
- ASPPA credentials (a plus)
- Excellent oral and written communication skills explaining sophisticated regulatory topics with any audience, tailoring delivery to the audience
- Leading the client experience and collaborating to gain consensus
- Strong ability to balance and prioritize client work, internal project work, and other responsibilities
- Strong organizational skills and ability to supervise at-risk client relationships
- Research topics independently and deliver solutions on complex regulatory issues
- Contribute to thought leadership while leading and driving initiatives across the department and organization
- Work with multiple levels of Fidelity and possess good presentation skills
- Assist with plan design discussions, implementation review and explore process improvements
- Educating clients regarding their plans test results
- Set proper expectations for new clients, plan sponsor contacts, and internal business partners
- Lead the testing service team to find solutions when complex issues or errors arise
- Build the confidence of clients in Fidelitys services by offering solutions to test failures
The Team
TRS handles Plan Year End Summary Reporting, Annual Compliance Testing, Form 5500 completion, and Audit Support for the plans year-end audit. We (the Compliance Consultants) initiate and maintain the relationship between the Plan Sponsor and TRS. TRS collaborates with various groups within Fidelity, including Managing Directors, Client Service Managers, Client Service Administrators, Implementation, Money Out, Transaction Processing, and Fidelitys Workplace Consulting, to ensure smooth year-end testing and processing.
Certifications:
Category:
CompliancePlease be advised that Fidelitys business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. Those laws and regulations may restrict Fidelity from hiring and/or associating with individuals with certain Criminal Histories.
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Benefits that balance life and work
From our fully paid parent leave to our on-site health and wellness centers, our benefits support the belief that more balance you have, the better you can achieve your goals.
Company overview
Company overview
At Fidelity, we are passionate about making our financial expertise broadly accessible and effective in helping people live the lives they want. We are a privately held company that places a high degree of value in creating and nurturing a work environment that attracts the best talent and reflects our commitment to our associates. We are proud of our diverse and inclusive workplace where we respect and value our associates for their unique perspectives and experience.
Reasonable accommodations
Fidelity will reasonably accommodate applicants with disabilities who need adjustments to participate in the application or interview process. To initiate a request for an accommodation contact the HR Accommodation Team by sending an email to accommodations@fmr.com, or by calling 800-835-5099, prompt 2, option 3.
Equal opportunity employer
Fidelity Investments is an equal opportunity employer. We believe that the most effective way to attract, develop, and retain a diverse workforce is to build an enduring culture of inclusion and belonging.
Applicant screening
At Fidelity, we value honesty, integrity, and the safety of our associates and customers within a heavily regulated industry. Certain roles may require candidates to go through a preliminary credit check during the screening process. Candidates who are presented with a Fidelity offer will need to go through a background investigation and may be asked to provide additional documentation as requested. This investigation includes but is not limited to a criminal, civil litigations and regulatory review, employment, education, and credit review (role dependent). These investigations will account for 7 years or more of history, depending on the role. Where permitted by federal or state law, Fidelity will also conduct a pre-employment drug screen, which will review for the following substances: Amphetamines, THC (marijuana), cocaine, opiates, phencyclidine.
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