Director of ERISA Compliance

Back to jobs New Director of ERISA Compliance Lindon, Utah Apply Human Interest is on a mission to ensure that people in all lines of work have access to retirement benefits.   More than half of all working Americans are not saving enough for their future. Too often, it’s because they are employed by a company that doesn’t offer a retirement plan. Human Interest is changing that by making it affordable and accessible for small and medium-sized businesses to offer employees a path to financial independence through retirement savings. We’re a high-growth fintech company changing the retirement industry. We are backed by a number of investors. This includes funding from Marshall Wace and Baillie Gifford, as well as top investors such as BlackRock , TPG (The Rise Fund) , SoftBank, Glynn Capital , NewView Capital, USVP, Wing, Uncork, and more. About the role The Director of Retirement Compliance role is strategic in nature, focusing on ensuring Human Interest's 401(k) platform operates in full compliance with ERISA regulations and fiduciary requirements while supporting our mission to make retirement benefits accessible to all. Key responsibilities include developing and implementing comprehensive compliance frameworks, leveraging technology to automate compliance processes, and fostering cross-functional collaboration to embed compliance excellence throughout our operations. The role emphasizes a proactive, technology-driven approach to compliance management, using innovative solutions to scale compliance oversight as we grow. Additionally, the Director will play a key role in evolving our compliance function to support our rapid growth while maintaining the highest standards of regulatory adherence and fiduciary responsibility. About the team The Compliance team at Human Interest serves as the guardian of our regulatory integrity and fiduciary excellence. This specialized team ensures that our retirement platform not only meets but exceeds ERISA requirements while protecting the interests of plan sponsors and participants. Operating at the intersection of regulatory expertise and innovative technology, they work to streamline compliance processes without compromising quality or thoroughness. The team collaborates closely with Product, Operations, and Client Success to embed compliance best practices into every aspect of our service delivery. As we continue to democratize access to retirement benefits, we're looking for a visionary leader who can scale our compliance operations through technology while maintaining our commitment to fiduciary excellence. What you get to do every day Lead and direct Human Interest's compliance program ensuring adherence to ERISA, DOL, and IRS regulations across all 401(k) plan operations Develop and implement technology-driven compliance frameworks that scale with our growing client base while maintaining regulatory excellence Design and oversee automated compliance monitoring systems to proactively identify and address potential issues Partner cross-functionally with Product, Operations, and Technology teams to embed compliance requirements into platform development Implement data-driven approaches to compliance testing, audit management, and regulatory reporting Oversee fiduciary governance processes and ensure proper documentation of fiduciary decisions Lead compliance technology initiatives including plan document automation, testing workflows, and regulatory reporting systems Manage relationships with external auditors, regulatory bodies, and compliance consultants Drive continuous improvement of compliance processes through automation and process optimization Serve as primary point of contact for regulatory inquiries and examinations Develop and maintain compliance policies, procedures, and training programs Lead crisis management protocols for compliance-related issues requiring immediate attention What you bring to the role 10+ years of experience in ERISA compliance, with at least 5 years in leadership roles within retirement plan administration Current ERISA-related professional certifications (QKA, QPA, RPF, or equivalent) Proven track record of leveraging technology to drive compliance efficiency and scalability Experience with 401(k) plan administration, including nondiscrimination testing, plan document maintenance, and fiduciary oversight Strong ability to develop compliance frameworks and processes that drive measurable results Experience implementing compliance technology solutions and automated testing systems Exceptional communication skills with ability to translate complex regulatory requirements for diverse stakeholders Data-driven approach to compliance management and risk assessment Nice to have Advanced ERISA certifications (CEBS, CPC, or law degree with ERISA specialization) Experience with fintech or technology-driven retirement plan platforms Track record of implementing compliance automation in high-growth environments Experience scaling compliance functions from startup to enterprise stage Background in regulatory technology (RegTech) or compliance software implementation Proficiency with compliance management platforms and workflow automation tools Proven ability to influence regulatory strategy based on industry trends and regulatory changes Experience managing both remote and in-office compliance teams Knowledge of emerging compliance technologies including AI and machine learning applications Where you will work Why you will love working at Human Interest Human Interest is tackling one of our country's biggest challenges - closing the retirement gap. You'll be instrumental in architecting and scaling solutions that bring financial security to employees at small and medium-sized businesses nationwide. We’ve made significant progress, but there is still growth ahead, offering you a unique opportunity to solve complex problems, drive innovation, and advance your career alongside a dedicated, mission-driven team. We value hard work and recognize that our team's contributions are key to our continued success. Join Human Interest and make a lasting impact by shaping the future of retirement. Our operating principles define how we work together as a team. They reflect Human Interest’s unique view on what’s important and what’s right. Documenting this core aspect of our culture helps employees make good decisions on their own. It also helps candidates considering career opportunities critically evaluate whether they will thrive at Human Interest.  Customer obsession : We're all about creating amazing experiences for our customers. We put their needs first and go the extra mile to make them smile. Long-Term Orientation : We're not just playing for today; we're building a legacy. We think big, plan strategically, and invest in our future. Autonomous and Accountable Teams : We trust our team members to take ownership and make smart decisions. We empower you to be your best self! An Escalating Bar for Talent and Performance : We're constantly raising the bar and challenging ourselves to be better. We believe in growth and continuous improvement. Fundamental Optimism : We see the glass as half full (and then we fill it up with more amazing ideas!). We believe in the power of positivity and the potential for greatness. Compensation - At Human Interest, there are a number of factors that are used to determine the appropriate pay range for each position. We take into account the cost of labor for each position in various markets across the U.S. The base salary for this position spans $150,000   - $170,000   and represents the minimum in our lowest geographic region to a maximum in our highest geographic region. The salary we offer to a new employee within this range is based on their location within the U.S., their relevant job-related skills, and experience. At Human Interest, base salary is one component of the overall total rewards package. Depending on the position, additional compensation components such as bonuses, commissions, and equity may be offered. All of our employees are offered a robust suite of physical, financial, and mental wellness benefits. In compliance with applicable laws, we do not inquire about salary history, or about criminal history prior to a conditional offer of employment. Benefits -  A great 401(k) plan: Our own! Our 401(k) includes a dollar-for-dollar employer match up to 4% of compensation (immediately vested) and $0 plan fees Top-of-the-line health plans, as well as dental and vision insurance Competitive time off and parental leave Addition Wealth:  Unlimited access to digital tools, financial professionals, and a knowledge center to help you understand your equity and support your financial wellness Lyra: Enhanced Mental Health Support for Employees and dependents   Carrot: Fertility healthcare and family forming benefits Candidly:  Student loan resource to help you and your family plan, borrow, and repay student debt Monthly work-from-home stipend; quarterly lifestyle stipend Engaging team-building experiences, ranging from virtual social events to team offsites, promoting collaboration and camaraderie. We’re a great place to work (but don’t take our word for it)  Here’s a list of our awards and accolades: Certified as a Great Place To Work® (2023-2025) Fortune Best Place to Work in the Bay Area (2024) Best Places to Work by Built In (2023-2024) America’s Best Startup Employers by Forbes (2020-2022, 2024)  A Top Company by Y Combinator (2020-2023) Inc. Fastest Growing Companies (2021) Human Interest is an equal opportunity employer. All applicants will receive consideration for employment without regard to race, color, religion, sex, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, veteran or military status, pregnancy, or any other characteristics protected under federal, state, or local laws. Employment with Human Interest is at-will, meaning either you or the company may terminate employment at any time, with or without cause or notice, except as otherwise provided by law or written agreement. We are committed to making every stage of our application process fully accessible to all individuals. If you need a reasonable accommodation at any point in the process, please let us know at applicantaccommodations@humaninterest.com. Please note Human Interest does not accept unsolicited resumes from any source other than directly from candidates. We will not consider resumes from vendors, including and without limitation search firms, staffing agencies, fee-based referral services, and recruiting agencies.  Pursuant to the San Francisco Fair Chance Ordinance, we will consider employment-qualified applicants with arrest and conviction records. We comply with CCPA guidelines. See more: https://humaninterest.com/disclosures Create a Job Alert Interested in building your career at Human Interest? Get future opportunities sent straight to your email. Create alert Apply for this job * indicates a required field Autofill with Greenhouse First Name * Last Name * Email * Phone * Location (City) * Locate me Resume/CV * Attach Attach Dropbox Google Drive Enter manually Enter manually Accepted file types: pdf, doc, docx, txt, rtf Cover Letter Attach Attach Dropbox Google Drive Enter manually Enter manually Accepted file types: pdf, doc, docx, txt, rtf Are you legally authorized to work in the United States? * Select... Will you now or in the future require sponsorship for employment visa status (e.g., H-1B visa status, etc)? * Select... How did you hear about this job? If you were referred, please provide the employee's name. * LinkedIn Profile URL * Do you know anyone who currently works at Human Interest? If so, please provide the employee's name. * Please provide your full legal name * Voluntary Self-Identification For government reporting purposes, we ask candidates to respond to the below self-identification survey. Completion of the form is entirely voluntary. Whatever your decision, it will not be considered in the hiring process or thereafter. Any information that you do provide will be recorded and maintained in a confidential file. As set forth in Human Interest’s Equal Employment Opportunity policy, we do not discriminate on the basis of any protected group status under any applicable law. Gender Select... Are you Hispanic/Latino? Select... Race & Ethnicity Definitions If you believe you belong to any of the categories of protected veterans listed below, please indicate by making the appropriate selection. As a government contractor subject to the Vietnam Era Veterans Readjustment Assistance Act (VEVRAA), we request this information in order to measure the effectiveness of the outreach and positive recruitment efforts we undertake pursuant to VEVRAA. Classification of protected categories is as follows: A "disabled veteran" is one of the following: a veteran of the U.S. military, ground, naval or air service who is entitled to compensation (or who but for the receipt of military retired pay would be entitled to compensation) under laws administered by the Secretary of Veterans Affairs; or a person who was discharged or released from active duty because of a service-connected disability. A "recently separated veteran" means any veteran during the three-year period beginning on the date of such veteran's discharge or release from active duty in the U.S. military, ground, naval, or air service. An "active duty wartime or campaign badge veteran" means a veteran who served on active duty in the U.S. military, ground, naval or air service during a war, or in a campaign or expedition for which a campaign badge has been authorized under the laws administered by the Department of Defense. An "Armed forces service medal veteran" means a veteran who, while serving on active duty in the U.S. military, ground, naval or air service, participated in a United States military operation for which an Armed Forces service medal was awarded pursuant to Executive Order 12985. Veteran Status Select... Voluntary Self-Identification of Disability Form CC-305 Page 1 of 1 OMB Control Number 1250-0005 Expires 04/30/2026 Why are you being asked to complete this form? We are a federal contractor or subcontractor. The law requires us to provide equal employment opportunity to qualified people with disabilities. We have a goal of having at least 7% of our workers as people with disabilities. The law says we must measure our progress towards this goal. To do this, we must ask applicants and employees if they have a disability or have ever had one. People can become disabled, so we need to ask this question at least every five years. Completing this form is voluntary, and we hope that you will choose to do so. Your answer is confidential. No one who makes hiring decisions will see it. Your decision to complete the form and your answer will not harm you in any way. If you want to learn more about the law or this form, visit the U.S. Department of Labor’s Office of Federal Contract Compliance Programs (OFCCP) website at www.dol.gov/ofccp . How do you know if you have a disability? A disability is a condition that substantially limits one or more of your “major life activities.” If you have or have ever had such a condition, you are a person with a disability. Disabilities include, but are not limited to: Alcohol or other substance use disorder (not currently using drugs illegally) Autoimmune disorder, for example, lupus, fibromyalgia, rheumatoid arthritis, HIV/AIDS Blind or low vision Cancer (past or present) Cardiovascular or heart disease Celiac disease Cerebral palsy Deaf or serious difficulty hearing Diabetes Disfigurement, for example, disfigurement caused by burns, wounds, accidents, or congenital disorders Epilepsy or other seizure disorder Gastrointestinal disorders, for example, Crohn's Disease, irritable bowel syndrome Intellectual or developmental disability Mental health conditions, for example, depression, bipolar disorder, anxiety disorder, schizophrenia, PTSD Missing limbs or partially missing limbs Mobility impairment, benefiting from the use of a wheelchair, scooter, walker, leg brace(s) and/or other supports Nervous system condition, for example, migraine headaches, Parkinson’s disease, multiple sclerosis (MS) Neurodivergence, for example, attention-deficit/hyperactivity disorder (ADHD), autism spectrum disorder, dyslexia, dyspraxia, other learning disabilities Partial or complete paralysis (any cause) Pulmonary or respiratory conditions, for example, tuberculosis, asthma, emphysema Short stature (dwarfism) Traumatic brain injury Disability Status Select... PUBLIC BURDEN STATEMENT: According to the Paperwork Reduction Act of 1995 no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. This survey should take about 5 minutes to complete. Submit application