Lea L. Smith, Qka, Tgpc Email & Phone Number

San Francisco, California, US

San Francisco, California, US

Fort Wayne, IN, US

Radnor, PA, US

• Ensured delivery of outstanding services to plan sponsors and other intermediary stakeholders, resulting in client satisfaction and retention within company policies and procedures.
• Listened closely with the relationship management and sales teams to streamline service delivery, heighten client satisfaction, and promote new business
• Promoted efficiency, quality and client focus in the conduct of all department work
• Interacted with senior management, peers, clients and other external parties in response to relevant inquiries and requests
• Reviewed regulatory changes in the retirement space and is able to discern the operational impact of these changes

Radnor, PA, US

• Worked seamlessly with other departments to complete the establishment of a plans including but not limited to: Contract, Investments / underlying annuities, account and certificate establishment while consulting on.
• Developed new procedures to enhance quality and efficiency of Compliance Services while ensuring as much flexibility as possible within the regulatory guidelines
• Thorough understanding of the needs of other internal service providers such as: Customer Service, Marketing, Sales and Communications areas to answer technical questions and to set goals to meet agreed upon.
• Managee databases maintained in department for purposes of tracking customer document provisions including new regulatory requirements and basic client data. Automated 1000+ emails to Plan Sponsors for annual testing.
• Managee mailing processes for repetitive and 'one time' mailings that are regulatory in nature, time based and critical for client in maintaining the compliance of their plans

Radnor, PA, US

• Manage all aspects of Plan Compliance Team as it relates to the DOL, IRS, and ERISA pension law.
• Interfaced with plan sponsors, brokers, administrators, attorneys and consultants working on compliance issues
• Developed new procedures to enhance quality and efficiency of Plan Compliance Team by 60%
• Thorough understanding of the needs of other internal service providers such as: Customer Service, Marketing, Sales and Communications areas to answer technical questions and to set goals to meet agreed upon.

Radnor, PA, US

• Responsible for assessing the training needs of the Plan Compliance Department and delivering training in the areas of plan design, compliance, and related areas to ensure staff is providing the highest-quality service.
• Drafted and review technical communications for internal and external audiences
• Responsible for annual / periodic technically detailed mailings to clients and agents
• Represented the Plan Compliance and Document teams on technical projects
• Monitored and analyzes legal and regulatory changes. Researches complex issues to determine appropriate action and/or strategic direction
• Assisted teams in resolving compliance issues by researching, consulting and recommending a corrective action

• Intimately worked with clients to ensure their compliance to the DOL, IRS, and ERISA pension law.
• Provided clients with the required tax reporting in a timely manner
• Guided Employers in plan design and implementation of 401(k) Plans, Profit Sharing, New Comparability, and Safe Harbor Plans by using Prototype and Volume Submitter Documents
• Established and maintain relationships with a variety of asset providers ranging from mutual funds to group variable annuities
• Cultivated relationships with brokers and agents to ensure continued growth within the company