Client Onboarding Analyst – New Plans

The Client Onboarding Analyst – New Plans supports the onboarding of newly sold 401(k) plans onto Ubiquity's recordkeeping platform. Reporting to the New Plan Team Lead, you manage a pipeline of new plan cases from contract through go-live and serve as the main contact for plan sponsors, financial advisors, and Third Party Administrators along the way. Complex issues and cross-functional blockers are routed through the Team Lead.

CORE RESPONSIBILITIES

Plan Setup & Documents

Manage an assigned pipeline of new plan cases from contract to go-live, tracking milestones and SLAs in Salesforce and flagging at-risk cases early.

Review plan design elections, resolve gaps or inconsistencies, and draft plan documents that comply with ERISA, IRS, and DOL requirements.

Set up trust accounts and confirm investment elections match the plan document and client instructions.

Keep case records and notes current in Salesforce and the recordkeeping system.

Payroll Integration

Work with sponsors to configure contribution data, census information, and payroll schedules before the first payroll.

Guide sponsors through connecting their payroll system, including steps and timelines.

Monitor first payroll submissions after go-live, troubleshoot discrepancies, and escalate anything you can't resolve.

Document each case's payroll setup and any integration issues.

Client & Advisor Communication

Lead kickoff calls to set expectations, review the timeline, and confirm who owes what.

Give sponsors, advisors, and TPAs proactive, milestone-based updates.

Teach sponsors the platform (portal, contributions, enrollment, reporting) so they can manage their plan independently at go-live.

Follow up on documents, signatures, and elections to keep time to first contribution short.

Compliance & Quality

Complete setup work in line with ERISA, IRS, and DOL rules, including required notices, contribution limits, and eligibility.

Review your own work for accuracy and fix errors before go-live.

Stay current on regulatory changes, including SECURE Act provisions.

Follow all Ubiquity security policies.

Collaboration & Escalation

Coordinate with internal teams on routine tasks within your authority; send complex questions, blockers, and anything needing leadership judgment to the Team Lead.

Partner with Sales and Client Experience for a smooth handoff from the point of sale.

Surface recurring issues and process gaps to the Team Lead, and help teammates during high-volume periods.

SKILLS & EXPERIENCE

Core

• Strong attention to detail, with the ability to manage a high-volume pipeline accurately and meet SLAs
• Excellent written and verbal communication, with a client-focused approach
• Sound judgment; works independently and collaboratively and escalates appropriately
• Proficiency in Microsoft Office (Outlook, Excel, Word)
• Bachelor's degree or equivalent combination of education and experience

Preferred

• 401(k) industry experience, ideally in new plan setup, implementation, plan documents, or plan design
• Working knowledge of plan design and administration (Safe Harbor, traditional 401(k), Profit Sharing), ERISA, and IRS limits
• Client-facing onboarding experience with plan sponsors and advisors
• Fintech or SaaS experience, including API-based integrations or cloud recordkeeping platforms
• Familiarity with payroll integrations, contribution files, and census data
• Salesforce and Asana; recordkeeping, plan document, compliance testing, or Form 5500 platforms (e.g., FT Williams, ASC) a plus
• QKA designation, or pursuit of ASPPA or NIPA credentials, a plus