The Client Onboarding Analyst – Flex is a cross-functional member of Ubiquity's Client Onboarding team, providing flexible coverage across New Plan Onboarding, Plan Conversions, and client servicing based on business volume, client needs, and team capacity. Cross-trained across onboarding functions, this role may assume assigned cases or provide targeted support with plan setup and conversion activities, client meetings and communications, inbound phone coverage, case escalations, document management, and calendar coverage.
The Analyst serves as a knowledgeable point of contact for plan sponsors, financial advisors, Third Party Administrators, and prior recordkeepers while supporting assigned work. This role is expected to move between functions as priorities change, helping maintain service levels, reduce bottlenecks, and provide continuity while maintaining accuracy, ownership, and established SLAs.
Core Responsibilities
Flexible Onboarding & Case Support
- Work across New Plans, Conversions, and client servicing based on volume, coverage needs, and onboarding priorities.
- Assume assigned cases, portions of cases, or temporary coverage and manage work through completion within established milestones and SLAs.
- Quickly assess case status, outstanding requirements, risks, and next steps to provide seamless client coverage.
- Maintain complete and accurate case notes, milestone documentation, and communications in Salesforce and Ubiquity systems.
New Plan & Conversion Execution
- Support new plan setup from contract through go-live, including plan design review, document preparation, trust and investment setup, payroll integration, client education, and first-contribution readiness.
- Support plan conversions through go-live, including plan and prior recordkeeper review, data collection, blackout coordination, asset transfer activities, reconciliation support, and milestone tracking.
- Coordinate with plan sponsors, advisors, Third Party Administrators, and prior recordkeepers to obtain required information and keep cases progressing.
- Identify missing information, discrepancies, or risks and resolve routine issues or escalate complex matters through established channels.
Client & Operational Coverage
- Conduct or provide coverage for onboarding and conversion meetings and provide clear guidance on required actions, timelines, and next steps.
- Provide inbound phone coverage and respond to routine sponsor, advisor, and client questions within established procedures and authority.
- Assist with case escalations, document management, outstanding-item follow-up, and calendar coverage to reduce operational bottlenecks.
- Ensure clear handoffs when coverage changes so clients and internal teams have continuity and visibility into case status.
Compliance, Quality & Collaboration
- Perform work in accordance with established procedures and applicable ERISA, IRS, and DOL requirements; review work for accuracy and completeness.
- Maintain audit-ready case documentation and follow all Ubiquity security policies and procedures.
- Partner with New Plans, Conversions, Client Experience, Payroll, Compliance, Sales, Financial Operations, and other teams within established processes.
- Identify recurring workflow gaps, client questions, or bottlenecks and surface opportunities for process improvement to onboarding leadership.
Skills & Experience
- 3+ years of experience in the 401(k) or retirement plan industry required, with experience in plan onboarding, implementation, conversions, recordkeeping, or client service strongly preferred.
- Working knowledge of 401(k) plan design, plan documents, payroll integration, and retirement plan administration; familiarity with ERISA, IRS, and DOL requirements preferred.
- Demonstrated ability to learn and retain procedures across multiple functions and shift between workstreams based on changing business priorities.
- Experience conducting client-facing calls or meetings with plan sponsors, financial advisors, Third Party Administrators, or other external partners preferred.
- Proficiency in Salesforce or comparable CRM/case management tools and Microsoft Office; experience with retirement plan recordkeeping, document, compliance testing, or Form 5500 systems a plus.
- Strong written and verbal communication, organization, problem-solving, and attention to detail, with the ability to manage high-volume work and changing priorities.
- QKA designation or active pursuit of ASPPA or NIPA credentials preferred.
- Bachelor's degree or equivalent combination of education and experience.
Benefits & Perks
- 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
- $100/month wellness reimbursement + $300 home office stipend
- Fully remote, flexible work culture
Compensation & Schedule
The annual base salary range for this role is $75,000–$85,000, with the opportunity to earn an additional 5% in variable compensation based on performance.
This role is expected to work 8:00 a.m. - 5:00 p.m or 9:00 a.m.–6:00 p.m. Pacific Time to ensure alignment and availability with the team.
