Client Onboarding Analyst – New Plans
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Job Description
Client Onboarding Analyst managing 401(k) plan onboarding on Ubiquity’s recordkeeping platform. Coordinating plan documents, payroll integration, compliance, and sponsor education through go-live.
Responsibilities:
- Manage an assigned pipeline of new 401(k) plan cases from initial contract through go-live on Ubiquity’s platform
- Track cases against established milestones and SLAs using Salesforce and internal case management tools
- Draft plan documents based on selected plan design elections and ensure compliance with ERISA, IRS, and DOL requirements
- Review and verify plan design elections, identifying inconsistencies or missing information
- Establish trust accounts and confirm investment elections are properly configured
- Maintain accurate case records, notes, and milestone documentation in Salesforce and Ubiquity’s recordkeeping system
- Coordinate payroll setup requirements, including contribution data, employee census information, and payroll schedules
- Guide plan sponsors through payroll-system connection and integration steps
- Monitor initial payroll submissions, troubleshoot contribution, eligibility, and file-format discrepancies, and escalate unresolved issues
- Serve as the primary point of contact for plan sponsors, financial advisors, and Third Party Administrators
- Conduct kickoff calls and provide milestone-based updates, platform education, and onboarding guidance
- Obtain required documentation, signatures, and plan elections
- Ensure setup tasks comply with ERISA, IRS, and DOL requirements
- Review completed setup work for accuracy and correct errors before go-live
- Stay current on IRS and DOL regulations, contribution limits, and SECURE Act provisions
- Maintain and enforce Ubiquity security policies and procedures
- Coordinate with internal teams and partner with Sales and Client Experience for smooth handoffs
- Identify process improvements and support colleagues during high-volume periods
Requirements:
- Experience in the 401(k) or retirement plan industry preferred, including exposure to new plan setup, plan implementation, plan documents, or plan design
- Working knowledge of 401(k) plan design and administration, including Safe Harbor, traditional 401(k), Profit Sharing, ERISA requirements, and IRS contribution limits preferred
- Familiarity with payroll integrations, contribution files, census data, and digital plan onboarding workflows a plus
- Experience in a fintech, SaaS, or technology-driven environment, including API-based integrations or cloud-based recordkeeping platforms, preferred
- Experience conducting client-facing onboarding or plan setup consultations with plan sponsors and financial advisors preferred
- Proficiency with CRM and workflow management tools such as Salesforce and Asana; experience with recordkeeping, plan document, compliance testing, or Form 5500 platforms (e.g., FT Williams, ASC) a plus
- Proficiency in Microsoft Office, particularly Outlook, Excel, and Word
- Strong attention to detail and ability to manage a high-volume case pipeline while maintaining accuracy and meeting SLAs
- Excellent written and verbal communication skills with a professional, client-focused approach
- Ability to work independently and collaboratively, exercise sound judgment, and escalate issues appropriately within established protocols
- QKA designation or active pursuit of ASPPA or NIPA credentials a plus
- Bachelor’s degree or equivalent combination of education and experience
Benefits:
- Health, dental, and vision coverage — 90% of your premium covered, 60% for dependents
- 401(k) with company match up to 4% of your gross annual pay
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