Manager, Documents & Technical Services

Overview

This role manages two specialty functions: plan documents and corrections work to bring retirement plans back into compliance. Success requires ownership of technical work and continuous improvement of the systems around it—leveraging AI and automation where appropriate.

Responsibilities

Plan Documents

• Drive processes to draft, review, and maintain plan documents, including adoption agreements, amendments, and restatements, SPDs, SMMs, and related participant disclosures
• Prepare restated documents for takeover plans, identifying protected benefits and flagging design changes that require client attention
• Interpret document provisions and advise internal teams on how plan language applies to operational questions
• Partner with 3(16) Services to prepare and deliver required disclosures and notices within applicable IRS and DOL timeframes

Restatement and Amendment Cycles

• Establish and run the process and schedule for restatement cycles and interim amendment projects
• Manage regulatory amendment deadlines, ensuring plans are timely updated with clear client and financial advisor communications
• Coordinate workflows for drafting, delivery, execution, and return of client-signed documents, and confirm operational alignment with recordkeeper platforms
• Maintain plan document status and details in external plan document tools and internal systems

Corrections

• Define and evolve the correction methodology across IRS and DOL programs, including decision criteria, procedures, and templates used by the team; keep the methodology current as guidance changes
• Oversee correction projects from diagnosis through filing, including preparing VCP, DFVCP, and VFCP submissions, and guide Plan Administration on the corrections they execute
• Own document-related corrections, including missed amendments, late restatements, and document failures
• Lead complex correction work involving novel fact patterns, multi-year failures, and cases where the appropriate correction method is not clear; engage outside ERISA counsel when warranted
• Review corrections executed by Plan Administration for alignment with the methodology and regulatory requirements; coordinate required contributions, client communications, and submissions with Plan Administration and Relationship Management

Plan Takeovers

• Review documents and amendments for incoming plans, identifying gaps and opportunities to align plan design with the plan sponsor’s objectives
• Diagnose inherited compliance failures and scope the correction work required
• Coordinate with internal and external parties to support an accurate takeover; advise Onboarding Plan Administrators and Relationship Managers on document-related risks

Technical Escalation and Practice Development

• Serve as a subject matter expert on IRS and DOL requirements as they apply to plan documents and corrections
• Act as the final escalation point for Plan Consulting, Relationship Management, and Plan Administration on plan document, qualification, and correction matters, including mergers and acquisitions and correction programs (e.g., EPCRS, DFVCP, VFCP)
• Consult on plan design and support client conversations when document or correction questions require a specialist
• Coordinate training for Plan Consulting, Relationship Management, and Plan Administration on recognizing failures early, determining when to escalate issues, and using new tooling as features are released

Product and Platform Partnership

• Partner with product, design, and engineering to shape the plan sponsor experience for document origination, amendments, and restatements
• Monitor recordkeeper platform capabilities related to plan design features and coordinate internal efforts to align them with plan design approach and service offering
• Contribute to how the plan design experience evolves as regulatory and industry requirements change
• Participate in developing internal tools that support plan document and correction work
• Monitor legislative and regulatory developments and implement required operational changes

Requirements

• 5+ years of qualified retirement plan document and plan corrections experience
• In-depth, hands-on experience preparing and reviewing plan documents, amendments, and restatements
• Deep working knowledge of ERISA, the Internal Revenue Code, and IRS/DOL correction programs
• Demonstrated experience with EPCRS corrections and submissions
• Ability to diagnose operational and document failures and determine the appropriate correction method
• Ability to clearly explain complex technical matters to non-technical audiences
• Exceptionally organized with the ability to manage multiple projects and competing deadlines with minimal oversight
• Proficiency with plan document software, Google Workspace, and task and project management software

Preferred Qualifications

• Experience with DFVCP and VFCP filings
• Familiarity with ftwilliam and the servicing modules of major recordkeeping platforms
• Hands-on experience with ChatGPT, Claude, Copilot, or similar AI tools in day-to-day work
• Experience working with product or engineering teams on tooling or platform capabilities
• Experience building a service or practice from the ground up
• Holding or pursuing ASPPA QKA (or NIPA APA) or pursuing advanced ASPPA designations such as QKC, QPA, or CPC

Compensation & Benefits

Compensation

• Base salary range: $115,000–$125,000, depending on experience, skills, and location
• Total compensation includes an annual bonus and equity

Benefits

• Comprehensive health, dental, and vision insurance, with additional optional coverage
• 401(k) with company match
• Flexible paid time off and holidays
• 10 weeks paid parental leave
• Fully remote work environment with all technology and equipment provided
• Support for professional development and career growth

Location

• Remote (candidates must be based in the US)
• Work authorization required; no visa sponsorship
• In-person attendance is encouraged for 1–2 company retreats per year

Hiring Process

• This role includes an assessment to establish a baseline understanding of each candidate’s current skills. It is not pass/fail; it helps assess plan knowledge and identify where training may be most useful.