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**Job Title:** Compliance Manager – Qualified Retirement Plans, 401(k) & 403(b)

**Location:** Austin, TX

**Department:** ERISA Compliance Services

**Reports To:** VP, Institutional Advisory and ERISA Services

About Us:

HUB is a global insurance and employee benefits broker, providing a broad array of property, casualty, risk management, life and health, employee benefits, investment and wealth management products and services.

About HUB Retirement & Private Wealth (RPW):

We lead our communities with integrity, driven to make things better, both now and in the future. We serve, inspire, and thrive while maintaining an entrepreneurial spirit. We innovate, collaborate, and achieve success together, focused on the tomorrows for all.

Mission Statement:

We are a highly committed, diverse financial services organization serving hundreds of thousands of retirement plan participants, individuals, and institutions across the United States. We provide financial piece of mind and top of class solutions, investments, administration, and service. We are committed to the highest Ethics, Competency, Customer Service, and providing our valued clients with the best and most competent professional team.

Job Summary

We are seeking an experienced and knowledgeable Compliance Manager to perform compliance activities related to retirement plans governed by the Employee Retirement Income Security Act (ERISA). This individual will serve as a subject matter expert, providing strategic guidance and ensuring that our organization and client plans remain fully compliant with ERISA, DOL regulations, and other relevant federal requirements.

The ideal candidate has a deep understanding of qualified retirement plans (401(k), 403(b), defined benefit), regulatory requirements, and operational compliance, and is capable of managing complex projects, audits, and cross-functional initiatives.

Key Responsibilities

+ Support internal teams and clients with guidance on ERISA and DOL regulations.

+ Assist in monitoring retirement plan operations for compliance with ERISA, IRS, and DOL standards.

+ Help prepare responses to regulatory inquiries and audits under supervision.

+ Track regulatory updates and communicate potential impacts to relevant stakeholders.

+ Collaborate with legal, operations, and client services to ensure compliant plan administration.

+ Contribute to the drafting and review of plan documents, amendments, and SPDs.

+ Interpret plan provisions and assist in resolving operational or fiduciary issues.

+ Participate in training sessions and maintain awareness of ERISA requirements.

+ Help implement compliance policies, procedures, and controls.

+ Support onboarding processes for new retirement plans, ensuring timely setup and documentation.

+ Maintain client records and assist in tracking regulatory compliance tasks.

+ Assist with compliance testing, including ADP/ACP and top-heavy testing.

+ Reconcile Form 5500 filings and support plan audit preparation and documentation.

Qualifications

+ Bachelor's degree preferred or equivalent experience in ERISA compliance, retirement plan administration.

+ In-depth knowledge of ERISA, DOL regulations, IRS rules, and retirement plan compliance best practices preferred.

+ Experience with qualified retirement plans including 401(k), 403(b), and defined benefit plans.

+ Demonstrated ability to lead audits, manage complex compliance issues, and work cross-functionally.

+ Strong communication skills with the ability to explain regulatory concepts clearly to non-legal audiences.

+ High attention to detail, strong analytical thinking, and excellent organizational skills.

+ Experience with compliance testing for ERISA plans

+ Proven track record of sound judgment and proactive problem-solving.

Preferred Experience

+ Experience working with recordkeepers, third-party administrators (TPAs), or retirement plan sponsors.

+ Expertise with Form 5500 filings, prohibited transactions, mandatory notice requirements, nondiscrimination testing, various other ERISA duties and responsibilities.

+ ASPPA designation preferred

Compensation:

+ $75,000-$85,000 plus discretionary bonus

Featured benefits:

+ Medical insurance, Vision insurance, Dental insurance, 401(k) plus match, Company Paid STD, Life Insurance, & parental leave

+ Hybrid schedule: 900 S Capital of TX Hwy, Ste. 350, Austin Texas

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Department Account Management & Service

Required Experience: 2-5 years of relevant experience

Required Travel: No Travel Required

Required Education: Bachelor's degree (4-year degree)

HUB International Limited is an equal opportunity employer that does not discriminate on the basis of race/ethnicity, national origin, religion, age, color, sex, sexual orientation, gender identity, disability or veteran's status, or any other characteristic protected by local, state or federal laws, rules or regulations.

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