Jenny Schroeder

PLANADVISER: Tell us about your role at your firm and your current responsibilities? How do you contribute to your firm/team’s growth and progress?

Schroeder: I started my career in a support role, which gave me a solid foundation in the daily operations and client service aspects of a financial services firm. Over time, I’ve intentionally expanded my responsibilities and skills across the organization. In doing so, I’ve developed deep knowledge of retirement plans and regulatory requirements. As director of operations, I play a key role in supporting our firm’s collaborative approach to client service. Our team works closely together to ensure every client receives timely, detailed and compassionate care. My responsibilities span a wide range of areas, such as:

• Client onboarding and account maintenance: Ensuring a smooth and thorough transition experience for new clients and current clients, and assisting clients as issues arise or going through conversions;
• Custodial relationships: Managing partnerships and communication with custodians for ongoing operational efficiencies and to support seamless client experience; and
• Billing and compliance support: Overseeing the integrity of our billing processes and assisting with regulatory adherence to maintain best practices; and
• Reporting and documentation: Preparing quarterly reports and assisting in the creation of RFPs to support business development and transparency.

My focus is on refining workflows that support both growth and a seamless client experience across every touchpoint. Through close collaboration with advisers and staff, I help ensure that our firm’s operations support our mission of providing exceptional service. Our adviser can trust that our team is dedicated to delivering exceptional client experience, enabling them to concentrate on their core responsibilities.

PLANADVISER: How did you end up in the retirement advisory industry?

Schroeder: My path into the retirement advisory industry was driven by a combination of personal values and professional curiosity. I’ve seen firsthand how stressful and overwhelming financial decisions can be for many individuals and families. That emotional complexity and my desire to help others drew me in. Early on, I realized that understanding how the investment world works educated me to serve people in a meaningful way. The investment world isn’t just about returns; it’s about trust, clarity and peace of mind. Knowing I can help someone feel secure about their future—or guiding them through a stressful financial situation—is incredibly rewarding. What ultimately keeps me in this field is the opportunity to give back. Supporting our advisers so they can serve at a higher level has a real impact on our clients. That sense of purpose is what drives me every day.

PLANADVISER: What are the most common operational challenges in a retirement plan advisory firm? How do you manage those?

Schroeder: One of the most common operational challenges in a retirement plan advisory firm is keeping up with the constant stream of regulatory changes. The retirement plan landscape is always evolving, whether it’s new legislation, updated Department of Labor guidance or proposed rule changes that may or may not go into effect. Staying ahead of these shifts requires vigilance, adaptability and clear communication. Managing these challenges are done by maintaining strong relationships with compliance experts, ERISA attorneys and recordkeepers, and by proactively educating our team and our clients, as well as implementing internal processes and tools that help monitor plan compliance, track deadlines and document fiduciary responsibilities. The goal is to ensure that our plan sponsors are well-informed, plans remain compliant and participants are protected.