Director of ERISA Compliance

Human Interest is on a mission to ensure that people in all lines of work have access to retirement benefits.

The Director of ERISA Compliance is a strategic, high-impact leadership role responsible for ensuring that Human Interest's platform operates with regulatory precision under ERISA, DOL, and IRS guidelines.

Responsibilities

• Lead and direct Human Interest's compliance program ensuring adherence to ERISA, DOL, and IRS regulations across all 401(k) plan operations
• Modernize compliance workflows and build cross-functional feedback loops with Customer Onboarding, Customer Success, and Product to perform root-cause analysis on errors and delinquencies
• Develop and implement technology-driven compliance frameworks that scale with our growing client base while maintaining regulatory excellence
• Own and drive scalable, technology-enabled initiatives with Product to improve platform-wide plan compliance health
• Design and oversee automated compliance monitoring systems to proactively identify and address potential issues
• Build and manage operational dashboards to continuously track team SLAs, operational metrics, and statutory regulatory deadlines
• Partner cross-functionally with Product, Operations, and Technology teams to review platform feature rollout plans, system copy, and marketing collateral to guarantee strict alignment with ERISA and DOL standards
• Lead Customer Advocacy and incident management for high-level escalations in close partnership with Legal to resolve plan errors and mitigate exposure
• 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
• Advise executive leadership on compliance risks and operational failures, proposing and owning strategic remediation solutions end-to-end
• Develop and maintain compliance policies, procedures, and training programs
• Lead crisis management protocols for compliance-related issues requiring immediate attention
• Coach, mentor, and uplevel frontline compliance managers to build operational excellence and scale team leadership

Requirements

• 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,)
• Juris Doctor (JD) with an emphasis on ERISA, employee benefits, or administrative law
• Experience within a high-growth fintech, modern TPA, or SaaS retirement platform
• 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
• 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
• Practical familiarity with workflow automation tools (e.g., Jira, Gemini) and dashboarding software (e.g., Salesforce, Hex)
• Deep background navigating voluntary correction programs (IRS EPCRS and DOL VFCP/DFVCP)

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