Essential Responsibilities:
Possess a thorough understanding of the retirement plans industry, including strong knowledge of (k) plan rules, ERISA regulations, and IRS guidelinesHave a thorough understanding of investment products and servicesProvide enrollment, transition, education, quarterly and annual meetings with plan sponsors, and their employeesDevelop and maintain relationships with plan sponsors, (K) providers, third party administrators and financial advisors: maintaining regular communication with eachAssist with the development of Investment Policy Statements, Investment Review Checklists and ERISA (c) ChecklistsAdhere to all compliance standards as required by broker-dealerCreate and maintain records and filesMaintain databases and create reports using portfolio software programsAssist financial advisors with marketing efforts including seminars, etc.<...