Keating Financial Advisory Services, Inc.
TPA Operations & Compliance Lead
Keating Financial Advisory Services, Inc., Overland Park, Kansas, United States, 66213
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
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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
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