Joe Gallagher
VP, ERISA and Retirement Compliance @ LPL Financial | Operational Excellence
- Role
- VP, Erisa and Retirement Compliance at LPL Financial
- Location
- Boston, MA, US
- LinkedIn followers
- 500 followers
About Joe Gallagher
With over 25 years of experience in ERISA compliance and retirement plan governance, currently serving as VP, ERISA and Retirement Compliance at LPL Financial. Leveraging expertise in ERISA, business relationship management, and operational excellence to support the organization’s compliance initiatives and align with regulatory standards. Previous leadership roles at John Hancock Retirement focused on Taft-Hartley plans and corporate plan sponsors, enabling robust regulatory adherence and fostering collaborative partnerships. Dedicated to driving strategic outcomes that reflect organizational values and support client-focused success.
Experience
VP, Erisa and Retirement Compliance
Sep 2023 — Present
Education
Springfield College
Bachelor's
Skills
- Securities
- Qualified Domestic Relations Orders
- Estate Planning
- Retirement
- Erisa
- Fixed Annuities
- Employee Benefits
- 5500s
- Dol
- Investments
- 401k
- Series 7
- 403 B
- Retirement Planning
- Finra
- Financial Services
- Form 5500 Preparation
- Plan Compliance
- Asset Allocation
- Mutual Funds
- Defined Benefit
- Taft-Hartley
- Nondiscrimination Testing
- Pensions
- Iras
- Executive Benefit Strategies
- Profit Sharing
- Defined Contribution
- Pension Funds
- Investment Advisory
- Series 6
- Insurance
- Spds
- Qualified Retirement Plans
- Form 5500
- Safe Harbor
- Sep Ira
- Series 63
- 401(K) Retirement Savings Plans
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