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401k Compliance Specialist (2019-8198)

Camas, WA, United States


Job Description


The Opportunity:

The 401(k) Solutions Compliance Specialist is responsible for the overall coordination and management of the annual compliance activities that our clients are required to complete. They will have overall responsibility for ensuring we have accurate tracking for all plans as they navigate necessary steps. They will also coordinate between additional responsible parties to confirm actions are being completed. Finally, they will also act in an individual support capacity, providing direct compliance support to a subset of our client base.

The Day-To-Day:

  • Reporting/Data Aggregation (Across all Recordkeeping Partners)
  • Compliance Program Coordination and Management:
    • High level coordination and management of Census Integrity, Compliance Testing, Corrective Distributions, 5500 Filing, Employer Contributions, Annual Notices, and RMD processes.
    • Accountable for all internal and external communication.
  • Individual Plan Data Collection and Compliance Support for:
    • Plans in the first year on our platform.
    • High Complexity Situations.
    • Plans with challenging administration issues.
  • Ancillary Plan Support including, but not limited to:
    • Plans going through annual audits.
    • Monitoring plans on the threshold of becoming a large plan filer.
    • Management and coordination of platform-level changes to fund line ups.

Your Qualifications:

  • No prior experience required - we focus on transferable skills.
  • Bachelor’s degree from 4-year college or university.
  • Retirement plan administration experience (likely with a TPA or RK).
  • Familiarity with ERISA/DOL/IRS regulations.
  • Track record of effectively managing complexity and navigating ambiguity.
  • Strong project management and Excel skills.
  • Business-like communication skills.
  • Good problem solving and attention to detail skills.

Why Fisher Investments:

Fisher Investments is a different kind of investment firm. We don’t come from Wall Street, nor do we believe we fit in with most of the finance industry, and we’re proud of that. We work for a bigger purpose: bettering the investment universe. From unmatched service to innovative perspectives on investing, it’s the people that make the Fisher purpose possible. After all, it’s our people that enable us to offer the level of service that we do. And we invest in them accordingly, offering exceptional benefits like:

  • 100% coverage of premiums for health, vision and dental insurance
  • A 50% 401(k) match, up to the IRS maximum
  • 20 days of PTO*, plus 9 paid holidays
  • 8 week paid Primary Caregiver Parental Leave
  • And much, much more

We also provide a cumulative, continuous learning and development framework customized for every employee. This emphasis on personal and professional growth has yielded an award-winning work environment; we’re Great Place to Work Certified, and The Oregonian named us as a Top Workplace.


But in the end, it’s not the perks that keep people here. They stay because they believe in our mission of service—our employees want to make a difference in an industry that can do better.


* California employees accrue up to 17 days of PTO and 3 days of sick time per year.




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