Director, Compliance Services

Ascensus is the leading independent technology and service platform powering savings plans across America, providing products and expertise that help nearly 16 million people save for a better today and tomorrow.

Position Summary

The Director of Compliance manages various day-to-day activities of the Retirement compliance department driving alignment to our service model, achieve budgeted expense targets and associate and client revenue objectives.

Job Functions, Essential Duties and Responsibilities

• Oversee and coordinate all of the activities within the Retirement Operations team.  Specifically, ensuring delivery of compliance test and employer calculations.
• Responsible for organizational planning and annual staffing plans.
• Motivate and lead teams through change.
• Actively seek out ways to improve the associate experience.
• Identification, evaluation, and prioritization of unified processes driving efficiencies. 
• Partner and build relationships among key stakeholders, client services, IT, products and other operations teams
• Identify, track, and monitor key performance metrics and recommend operational changes to improve performance.
• Align department priorities to execute on business plan objectives to maximize revenues, client retention and organic sales.
• Participate in strategic initiatives and collaboration opportunities across the organization.
• Manages budget, including developing budget proposals, justifying expenses and monitoring accounts.
• Identify and develop solutions to address risks and assist in the creation of solutions intended to drive alignment.
• Responsible for protecting, securing, and proper handling of all confidential data held by Ascensus to ensure against unauthorized access, improper transmission, and/or unapproved disclosure of information that could result in harm to Ascensus or our clients.
• The I-Client philosophy and the Core Values of People Matter, Quality First and Integrity Always® should be visible in your actions on a day to day basis showing your support of our organizational culture.

Supervision  

• 6-8 direct reports who lead team of manager, supervisors and associates
• Lead and direct staff to create an optimal work environment

Preferred Qualifications & Experience

• 10+ years of progressive leadership experience within Retirement Services, Financial Services, Benefits Administration, or related operational environments, including oversight of large-scale teams and complex service delivery functions.
• Demonstrated experience leading enterprise transformation initiatives, including process redesign, operating model enhancements, digital transformation, workflow automation, and continuous improvement programs that drive measurable gains in efficiency, quality, client experience, and cost reduction.
• Proven ability to leverage Artificial Intelligence (AI), automation, and advanced analytics to improve operational performance, enhance decision-making, streamline workflows, and deliver scalable business solutions. Experience identifying, evaluating, and implementing emerging technologies is strongly preferred.
• Experience navigating mergers, acquisitions, integrations, or large-scale organizational change, including process harmonization, team integration, operating model alignment, risk mitigation, and client transition management.
• Track record of leading through ambiguity and change, successfully guiding teams through transformational initiatives while maintaining operational stability, employee engagement, and client satisfaction.
• Demonstrated success developing and executing strategic roadmaps that align operational priorities, technology investments, and business objectives.

Preferred Leadership Competencies

• Strategic Thinking and Enterprise Leadership
• Digital and AI-Driven Innovation
• M&A Integration and Change Leadership
• Operational Excellence and Process Transformation
• Executive Communication and Influence

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