Client Onboarding Analyst, New Plans

About Ubiquity 

We're on a mission to empower small businesses and their employees to build financial security and peace of mind. By combining innovative technology with affordable retirement solutions and best in class customer support, we're leveling the playing field for those who need it most. If you're passionate about building products that make a real difference for the SMB space, the backbone of America, we'd love to meet you.

About the Role

The Client Onboarding Analyst – New Plans supports the end-to-end onboarding of newly sold 401(k) plans onto Ubiquity’s recordkeeping platform. Working within the New Plan team and reporting to the New Plan Team Lead, this role is responsible for executing plan setup tasks, preparing plan documents, coordinating payroll integration, and managing an active pipeline of new plan cases from contract through go-live. The Analyst serves as the primary point of contact for plan sponsors, financial advisors, and Third Party Administrators throughout the setup process, providing proactive communication, ongoing platform education, and compliance-aware guidance at every milestone. All complex issues, escalations, and cross-functional blockers are routed through the New Plan Team Lead. 

What You'll Do

New Plan Setup & Document Preparation 

• Manage an assigned pipeline of new 401(k) plan cases from initial contract through go-live on Ubiquity’s platform, tracking each case against established milestones and SLAs using Salesforce and internal case management tools; proactively flag cases at risk of delay to the New Plan Team Lead. 

• Draft plan documents for new clients based on their selected plan design elections, ensuring all provisions are accurately reflected and in compliance with ERISA, IRS, and DOL requirements. 

• Review and verify plan design elections submitted by plan sponsors and advisors, identifying and clarifying any inconsistencies or missing information before plan document preparation begins. 

• Establish trust accounts and confirm investment elections are properly configured in accordance with the plan document and client instructions. 

• Maintain accurate and up-to-date case records, notes, and milestone documentation in Salesforce and Ubiquity’s recordkeeping system throughout the plan setup lifecycle. 

Payroll Integration & Contribution Setup 

• Coordinate payroll setup requirements directly with plan sponsors to ensure contribution data, employee census information, and payroll schedules are accurately configured prior to the first payroll submission. 

• Guide plan sponsors through the process of connecting their payroll system to Ubiquity’s platform, explaining integration steps, expected timelines, and required actions clearly and proactively. 

• Monitor initial payroll submissions after go-live to confirm contributions are processing correctly; identify and troubleshoot discrepancies in contribution amounts, employee eligibility data, or payroll file formats, escalating to the New Plan Team Lead when issues cannot be resolved at the analyst level. 

• Document payroll setup configurations and any integration issues encountered for each case, maintaining a clear record in Salesforce for the plan’s ongoing service history. 

Client & Advisor Communication 

• Serve as the primary point of contact for plan sponsors, financial advisors, and Third Party Administrators throughout the new plan setup process, providing proactive, milestone-based updates on outstanding items and next steps. 

• Conduct plan setup kickoff calls to establish expectations, review the onboarding timeline, confirm required actions from each party, and introduce plan sponsors to the Ubiquity platform. 

• Deliver ongoing platform education throughout the onboarding lifecycle, including portal navigation, contribution submission, employee enrollment, and plan reporting, ensuring sponsors are fully equipped to manage their plan independently at go-live. 

• Follow up in a timely and organized manner to obtain required documentation, signatures, and plan elections, creating appropriate urgency to minimize time to first contribution. 

• Escalate complex plan design questions, unresolved setup issues, or cross-functional blockers to the New Plan Team Lead rather than attempting to resolve them independently or routing directly to other departments. 

Compliance & Quality Assurance 

• Ensure all plan setup tasks are completed in accordance with ERISA, IRS, and DOL requirements, including plan document provisions, required notices, contribution limits, and eligibility rules. 

• Review completed plan setup work for accuracy before submission, identifying errors or omissions and correcting them prior to plan go-live. 

• Stay current on changes to IRS and DOL regulations, plan contribution limits, and SECURE Act provisions that affect new plan setup and plan document preparation. 

• Maintain, follow, and enforce all Ubiquity security policies and procedures at all times. 

Cross-Functional Coordination & Escalation 

• Coordinate directly with internal teams on routine plan setup tasks and approvals within established processes and authority levels, routing escalated issues or items requiring leadership judgment to the New Plan Team Lead. 

• Partner with Sales and Client Experience to ensure a smooth handoff from the point of sale through plan setup, with client expectations clearly established from day one. 

• Contribute to team process improvement efforts by identifying recurring setup issues, documentation gaps, payroll configuration challenges, or workflow inefficiencies and surfacing them to the New Plan Team Lead. 

• Support the team during high-volume periods by assisting colleagues with case overflow and contributing to shared team priorities as directed by the New Plan Team Lead. 

What We're Looking For

• Experience in the 401(k) or retirement plan industry preferred; familiarity with new plan setup, plan document preparation, or plan implementation a plus. 

• Experience working within a fintech, SaaS-based, or technology-driven platform a plus; familiarity with API-based integrations, digital plan onboarding workflows, or cloud-based recordkeeping environments preferred 

• Working knowledge of plan document provisions, plan design options (Safe Harbor, traditional 401(k), Profit Sharing), ERISA compliance requirements, and IRS contribution limits preferred. 

• Familiarity with payroll integration processes for 401(k) plans, including contribution file formats and census data management, a plus. 

• Experience conducting client-facing onboarding calls or plan setup consultations with plan sponsors and financial advisors preferred. 

• Proficiency in Salesforce or comparable CRM tools preferred; experience with workflow or case management platforms (e.g., Asana) a plus. 

• Proficient in Microsoft Office (Outlook, Excel, Word); experience with plan document drafting tools or recordkeeping platforms a plus. 

• Familiarity with compliance testing software and 5500 tools (e.g., FT Williams, ASC) a plus. 

• QKA designation or active pursuit of ASPPA or NIPA credentials a plus. 

• Strong attention to detail with the 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 tone. 

• Ability to work both independently and collaboratively; comfortable escalating issues to the New Plan Team Lead and operating within established escalation protocols. 

• Bachelor’s degree or equivalent combination of education and experience. 

What We Offer

Comprehensive Benefits 

Medical, dental, and vision insurance to ensure you're protected and staying happier and healthier.

Remote-First Culture

Get more ownership over your schedule while maintaining great relationships with your peers.

Flexible PTO

With us, you have the freedom to manage your schedule and take time off when you need it – no questions asked.

Inclusive & Diverse Workplace

We celebrate diverse viewpoints and believe diversity nurtures innovation and creativity. We want everyone to feel included like a valued member of our Ubiquity family.

We may use artificial intelligence (AI) tools to support parts of the hiring process, such as reviewing applications, analyzing resumes, or assessing responses. These tools assist our recruitment team but do not replace human judgment. Final hiring decisions are ultimately made by humans. If you would like more information about how your data is processed, please contact us.