Senior ERISA Compliance Specialist

Hooker & Holcombe, Bloomfield, CT

Hooker & Holcombe, Inc., New England's premier regional retirement consulting firm located in Bloomfield, CT is seeking a full-time Senior ERISA Compliance Specialist for our Recordkeeping and TPA unit with a minimum of 8 years in the retirement plan industry. The ideal candidate is able to work well independently and part of a team. The ideal candidate is highly motivated, committed to continuous improvement, and energetic with an attitude that will contribute positively to individual and team goals to meet the company’s growing retirement services. We would consider candidates that were interested in working remotely.

Tasks and Responsibilities

  • Perform annual compliance testing to demonstrate satisfaction of coverage and non-discrimination requirements (ADP/ACP, 410(b) coverage, top heavy, 415, and cross testing).
  • Assist, complete, prepare and/or review annual valuations and 5500 Forms.
  • Prepare, interpret and analyze provisions in plan documents.
  • Provide guidance and handle compliance needs for a book of business( corrections, QDRO reviews, plan document support and client questions).
  • Sophisticated and professional compliance consulting (internally & externally) for plan testing, 5500 preparation, plan design, ongoing plan recordkeeping operations.
  • Develop, integrate and improve efficiency of our internal compliance and operating systems to produce positive team and client experiences.
  • Assists on other plan compliance and administration inquiries where needed.
  • Guidance for clients and the department on self-corrections and submissions to the DOL & IRS if necessary.
  • Updating plan specs in the compliance system based on changes due to plan amendments.
  • Provide direction and lead preparation and review of annual plan notices for all plan years.
  • Prepare, coordinate and guide team on required plan restatements and plan amendments.
  • Determine plan eligibility, plan entry dates and plan compensation.
  • Prepare annual compliance reports.
  • Willingness to research and learn unknown topics.
  • Provide periodic training for the team/department on compliance topics.

Education / Skills

  • Proficient knowledge of ERISA, DOL and IRS regulations.
  • BA/BS degree required or equivalent work experience within the retirement plan industry.
  • This position requires achievement of a minimum QKA designation through the American Retirement Association (ARA).
  • Minimum 8 years’ experience in retirement compliance administration.
  • Required Software Skills: Excel, FT William..
  • Preferred Software Skills Pension Pro and Schwab Recordkeeping .


  • Desire to take ownership of the position while working as a Team player.
  • Desire to lead, support and guide all internal and external clients in plan compliance areas.
  • Ability to work under pressure of deadlines and demanding clients while maintaining a positive and professional attitude.
  • Willingness to learn and be coachable.
  • Detail oriented.
  • Ability to effectively communicate, both in writing and orally in a professional manner.
  • Work with minimal supervision.
  • Good organizational and time management skills.
  • Analytical and critical-thinking skills.

Please submit your resume, including salary history and requirements, to


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