Dynamic Employee Benefits Paralegal/Retirement Plan Consultant with a deep-rooted commitment to guiding clients through every phase of their retirement plans. Proficient in all aspects, from initial setup to ongoing compliance and the seamless conclusion of plans. Demonstrated ability to manage projects efficiently, ensuring timely and budget-conscious execution. Skilled in crafting clear and precise participant communications, regulatory notices, and legal documents. Thrives on staying abreast of evolving legal landscapes and imparting knowledge to clients and colleagues, particularly in areas like ERISA and pension laws. Recognized for strong leadership, problem-solving acumen, and a customer-centric approach. Committed to delivering exceptional service through effective communication and interpersonal skills. • Accomplished project manager with a demonstrated ability to facilitate communication among advisors, CPAs, administrators, and attorneys to ensure seamless operation of plans. • In-depth understanding of legislative regulations governing retirement plans, evidenced by the publication of client alerts and delivery of speaker presentations to both clients and peers. • Acted as the primary point of contact and subject matter expert for client retirement plans, providing invaluable support for technical issues internally and externally. • Trusted problem-solving resource for multiple clients and attorneys, offering keen analytical skills and meticulous attention to detail in a consulting and coordinator capacity. • Highly collaborative across all organizational levels and departments, fostering effective teamwork and synergy. • Areas of expertise encompass employee benefits, qualified plans, ESOPs, 401(k) plans, defined contribution plans, defined benefit plans, and cash balance plans. • Proficient in various software platforms, including Microsoft Office (Excel, Outlook, Word, Teams) and Google Suite (Drive, Sheets, Gmail, Meet), with experience utilizing Relius, Relativity, PowerPoint, Box, and Monday.

1. Carrie A. Roberts
Chicago, IL 60613
312-401-8901
CarrieRobertsRivera@gmail.com
https://www.linkedin.com/in/carrie-roberts-rivera-cebs-5332443/
Employee Benefits Paralegal and Retirement Plan Consultant Overview:
Dynamic Employee Benefits Paralegal/Retirement Plan Consultant with a deep-rooted
commitment to guiding clients through every phase of their retirement plans. Proficient in all
aspects, from initial setup to ongoing compliance and the seamless conclusion of plans.
Demonstrated ability to manage projects efficiently, ensuring timely and budget-conscious
execution. Skilled in crafting clear and precise participant communications, regulatory notices,
and legal documents. Thrives on staying abreast of evolving legal landscapes and imparting
knowledge to clients and colleagues, particularly in areas like ERISA and pension laws.
Recognized for strong leadership, problem-solving acumen, and a customer-centric approach.
Committed to delivering exceptional service through effective communication and interpersonal
skills.
Qualification Brief:
• Accomplished project manager with a demonstrated ability to facilitate communication
among advisors, CPAs, administrators, and attorneys to ensure seamless operation of
plans.
• In-depth understanding of legislative regulations governing retirement plans, evidenced
by the publication of client alerts and delivery of speaker presentations to both clients and
peers.
• Acted as the primary point of contact and subject matter expert for client retirement
plans, providing invaluable support for technical issues internally and externally.
• Trusted problem-solving resource for multiple clients and attorneys, offering keen
analytical skills and meticulous attention to detail in a consulting and coordinator
capacity.
• Highly collaborative across all organizational levels and departments, fostering effective
teamwork and synergy.
• Areas of expertise encompass employee benefits, qualified plans, ESOPs, 401(k) plans,
defined contribution plans, defined benefit plans, and cash balance plans.
• Proficient in various software platforms, including Microsoft Office (Excel, Outlook,
Word, Teams) and Google Suite (Drive, Sheets, Gmail, Meet), with experience utilizing
Relius, Relativity, PowerPoint, Box, and Monday.

2. Professional Experience:
Menke & Associates, LLP – Remote May 2022 – February 2024
Senior Paralegal
• Provided comprehensive support to over 400 clients alongside a cross-functional team of
attorneys and administrators, specializing in Employee Stock Ownership Plans (ESOPs)
and 401(k) plans. Responsibilities included addressing compliance inquiries and
proficiently drafting amendments and restatements to ensure plan efficacy.
• Drafted installation documents for individually-designed ESOPs and 401(k) plans,
collaborating closely with attorneys to ensure tailored solutions met client needs and
regulatory requirements.
• Conducted thorough reviews of domestic relations orders (QDROs) to ascertain qualified
status for ESOPs, liaising effectively with clients, administrators, and legal
representatives to navigate complex participant and alternate payee scenarios.
• Spearheaded the seamless coordination of IRS filing processes for both new plan
implementations and terminations, managing all facets from inception to completion.
This encompassed proactively addressing IRS inquiries to ensure smooth processing prior
to determination letter receipt.
• Pioneered the implementation of electronic communication and delivery protocols for all
project documentation, transitioning from traditional paper and mail methods. This
initiative streamlined processes, enhancing efficiency and client satisfaction while
ensuring compliance with applicable firm, IRS or Department of Labor standards.
Katten Muchin Rosenman LLP – Chicago, IL July 2021 – April 2022
Employee Benefits Paralegal
• Orchestrated the meticulous coordination and completion of governmental filings
essential to terminating defined benefit pension plan, ensuring adherence to regulatory
protocols and seamless resolution.
• Played a pivotal role in client meetings, adeptly organizing project timelines and
documentation for large-scale initiatives. Facilitated effective collaboration among
multiple stakeholders, ensuring alignment with project objectives and deadlines.
• Actively participated in client quarterly meetings focused on qualified plan
administration and investment committee deliberations. Contributed expertise in
fiduciary duties and legal nuances governing retirement plans.
• Provided invaluable support to multiple clients on executive compensation initiatives,
including the development of comprehensive plans and associated documentation. Key
contributions included facilitating benchmarking exercises and meticulously reviewing
prepared committee meeting agendas and minutes to support informed decision-making
and compliance efforts.
The Boyd Group – Elmhurst, IL December 2020 – June 2021
(contract position through Flex Execs Management Solutions)
401(k) Plan Consultant

3. • Oversaw active 401(k) plan compliance matters, collaborated with auditors and addressed
any arising issues. Additionally, spearheaded special projects involving relevant vendors
and management to ensure ongoing regulatory adherence.
• Drove the mergers and terminations of several acquired 401(k)/profit sharing plans,
ensuring smooth transitions and compliance with regulatory requirements.
• Identified and swiftly resolved compliance and legal challenges associated with mergers
and acquisitions of various locations and corporate entities, mitigating risks and ensuring
legal compliance throughout the process.
Holland & Knight LLP – Chicago, IL September 2018 – November 2020
ESOP and Employee Benefits Paralegal
• Provided vital support to clients and internal teams during comprehensive compliance
reviews for qualified plans. Analyzed spreadsheets, test cases, and specifications to
pinpoint errors and inconsistencies, ensuring operational efficiency and regulatory
adherence.
• Collaborated closely with practice groups throughout corporate deal processes,
conducting due diligence to identify and mitigate potential issues under the Internal
Revenue Code and ERISA. This proactive approach aimed to minimize errors and reduce
fiduciary risks.
• Prepared determination letter applications for both newly established ESOPs and
terminating ESOPs, effectively responding to IRS information requests as necessary. This
included staying updated on regulatory changes and ensuring compliance with evolving
legal requirements.
• Updated ESOPs, 401(k) plans, and other pension plans as needed to reflect legal changes,
maintaining compliance and alignment with current regulations.
• Effectively communicated technical changes to clients and ESOP teams, drafting
informative client alerts on topics such as loans, hardships, and regulatory updates like
the SECURE Act and CARE Act.
• Designed comprehensive summary plan descriptions (SPD) and summaries of material
modifications (SMM), ensuring clarity and accuracy in plan documentation.
• Managed the preparation and filing of submissions under the IRS's Voluntary Compliance
Program (VCP), utilizing options under the Self-Correction Program (SCP) to address
compliance issues effectively.
• Developed streamlined procedures for clarifying distributions and addressing technical
aspects of plans, reducing future research needs and compliance efforts while enhancing
overall efficiency.
Katten Muchin Rosenman LLP – Chicago, IL February 2008 – August 2018
Employee Benefits Paralegal
• Provided comprehensive support to multiple clients, addressing a wide range of questions
and concerns related to pension plans (defined benefit plans), ESOPs, 401(k) plans, and
other defined contribution plans.
• Acted as subject matter expert, consultant and trusted resource for qualified plans and
related compliance issues. Authored client alerts on IRS and Department of Labor

4. compliance programs, ensuring clients remained informed and compliant with regulatory
requirements.
• Amended and restated qualified plan documents to incorporate legal changes and
optional adjustments that would optimize benefits for both companies and their
employees.
• Facilitated the seamless termination of both defined benefit and defined contribution
plans, orchestrating communication and project coordination among clients, actuaries,
consultants, and attorneys. Prepared IRS and PBGC filings and participant notices to
ensure compliance throughout the termination process.
• Implemented efficient electronic databases for multiple clients, enhancing document
organization and information sharing capabilities. This streamlined processes during
contract reviews and plan amendments, ensuring ease of access and improved efficiency.
Drinker Biddle & Reath LLP – Chicago, IL November 1996 – January 2008
(formerly, Gardner Carton & Douglas LLP and now Faegre Drinker)
Employee Benefits Paralegal
• Provided expert consultation and advisory services to key clients within the department,
effectively organizing and managing projects involving board members, attorneys,
consultants, trustees, and actuaries to ensure successful outcomes.
• Produced a multitude of essential documents, including summary plan descriptions
(SPD), summaries of material modifications (SMM), plan documents, government
filings, IRS Forms 5500, summary annual reports (SAR), and IRS determination letter
filings (IRS Forms 5300, 5310, 5307), demonstrating meticulous attention to detail and
compliance with regulatory standards.
• Conducted thorough reviews of domestic relations orders to assess qualified status and
prepared comprehensive client procedure packages for Qualified Domestic Relations
Orders (QDROs), encompassing sample letters, notices, authorizations, and QDRO
examples to support efficient resolution.
• Played an active role in the recruitment and training processes for paralegals and
attorneys, contributing to the selection and development of talented professionals within
the team.
Education:
Certified Employee Benefits Specialist (CEBS Program) – Chicago, IL November 2000
o Co-sponsored by the International Foundation of Employee Benefit Plans and the
Wharton School of the University of Pennsylvania
University of Chicago – Chicago, IL June 1996
o BA in Public Policy (with Honors)