The Head of IRA and Retirement Services is a senior role within our Retirement team, overseeing approximately 12,000 IRA/Retirement accounts totaling nearly $10 billion in assets within the Private Wealth Management (PWM) business. As the firm’s “IRA Champion,” you will take ownership of all IRA-related processes, ensuring exceptional client service, operational excellence, and regulatory compliance. The role requires a combination of deep technical expertise in IRA regulations, exceptional client and advisor-facing skills, and the ability to collaborate across departments to drive innovation and process improvements.

Key Responsibilities:

Client and Advisor Support

Serve as the primary point of contact (“IRA hotline”) for Advisors and Portfolio Management teams, addressing questions on regulations, beneficiary designations, and client-specific inquiries.

Educate Advisors, new employees, and internal teams on IRA-related topics, regulatory updates, and industry trends.

Partner with Advisors and their clients (including accountants and attorneys) to address complex IRA-related matters, providing consultative support.

Review and assist with beneficiary questions, offering technical guidance on trusts, tax implications, and compliance requirements.

Operational Oversight and Process Management

Oversee IRA services provided by NFS/Fidelity, identifying areas for improvement and driving process enhancements.

Review and approve beneficiary changes, ensuring compliance, accuracy, and risk mitigation.

Analyze the impact of tax law and regulatory changes on Retirement Operations processes and implement necessary adjustments.

Resolve escalated issues, unusual items, and errors to maintain service quality and operational efficiency.

Regulatory Oversight and Compliance

Monitor and interpret changes in tax laws and regulations (IRS, DOL) impacting IRA accounts, ensuring compliance and minimizing fiduciary risk.

Communicate regulatory updates and their implications to Advisors, Operations, and other stakeholders.

Maintain and update critical IRA documentation, including Adoption Agreements, Beneficiary Agreements, and Disclosure Statements.

Lead internal audits related to IRA accounts, ensuring adherence to best practices and identifying areas for improvement.

Strategic Leadership and Thought Leadership

Develop innovative strategies to improve IRA-related processes, client service, and risk management.

Drive initiatives such as client webinars, whitepapers, and collaboration with the financial planning team and trust and estate attorneys.

Act as a trusted partner to Advisors, helping integrate IRA expertise into broader wealth planning strategies.

Proactively bring forward ideas to elevate the role, improve processes, and ensure scalability and operational efficiency.

Qualifications:

Experience and Education

Bachelor’s degree required; advanced certifications (e.g., CFP, CEBS, JD, or similar) preferred.

10+ years of experience in IRA or retirement services, with a strong understanding of IRA structures, tax law, and regulatory requirements.

Familiarity with trusts, estate planning, and tax implications related to IRAs.

Experience with ERISA plans is a plus.

Previous experience at a wire house (e.g., Fidelity, Merrill Lynch, UBS) or managing a large IRA book of business is highly desirable.

Skills and Attributes

Strong and comprehensive knowledge of IRA laws, regulations, and processes, with the ability to think like a T&E (Trusts & Estates) attorney when addressing complex beneficiary scenarios.

Exceptional client service skills with the ability to partner effectively with Advisors, high-net-worth clients, accountants, and attorneys.

Superior written and verbal communication skills, with the ability to lead calls, Zooms, and in-person meetings with various stakeholders.

Highly independent and proactive, with the ability to work autonomously while building strong relationships across the organization.

Proven track record of identifying inefficiencies and implementing process improvements to enhance service delivery and operational excellence.

Strong ability to collaborate with internal teams (Operations, Legal, Compliance, Financial Planning) and contribute to cross-functional initiatives

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Compensation Details

The salary range for this role is $175,000-$215,000. This is the lowest to highest salary we in good faith believe we would pay for this role at the time of this posting. We may ultimately pay more or less than the posted range, and the range may be modified in the future. This range is only applicable for jobs to be performed in the job posting location. An employee’s pay position within the salary range will be based on several factors including, but limited to, relevant education, qualifications, certifications, experience, skills, seniority, geographic location, business sector, performance, shift, travel requirements, sales or revenue-based metrics, market benchmarking data, any collective bargaining agreements, and business or organizational needs. This job is also eligible for a discretionary bonus, which, along with base salary and retirement contributions, is part of our total comprehensive package. We offer a comprehensive package of benefits including paid time off, medical/dental/vision insurance, 401(k), life insurance and other benefits to eligible employees.

Note: No amount of pay is considered to be wages or compensation until such amount is earned, vested, and determinable. The amount and availability of any bonus, commission, production, or any other form of compensation that are allocable to a particular employee remains in the Company's sole discretion unless and until paid and may be modified at the Company’s sole discretion, consistent with the law.

Neuberger Berman is an equal opportunity employer. The Firm and its affiliates do not discriminate in employment because of race, creed, national origin, religion, age, color, sex, marital status, sexual orientation, gender identity, disability, citizenship status or protected veteran status, or any other characteristic protected by local, state, or federal laws, rules, or regulations. If you would like to contact us regarding the accessibility of our website or need assistance completing the application process, please contact onlineaccommodations@nb.com.

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