Summary
Overview
Work History
Education
Skills
Affiliations
Websites
References
Timeline
Generic

Wendy J. Baker

Jamestown

Summary

Accomplished executive-level attorney with 30 years of experience in ERISA and related regulatory fields. Proven ability to navigate complex regulatory environments, particularly in the FinTech sector as in-house counsel. Expertise in driving product lifecycle changes while ensuring compliance with evolving regulations. Recognized for clear communication of legal risks and providing actionable advice to senior leadership and cross-functional teams.

Overview

4
4
years of professional experience

Work History

Associate General Counsel, Product and Compliance

Human Interest Inc.
07.2021 - Current
  • Company Overview: Executive level in-house attorney for FinTech start-up providing services in the retirement plan industry to small and mid-size businesses.
  • As the company's lead Product Attorney I support the business from product development through implementation, administration, marketing and education.
  • My focus is on guiding cross functional teams by providing pragmatic business advice and building a framework of guidance teams can understand and utilize.
  • I am a trusted advisor, educator, and influence within the business.
  • Executive level in-house attorney for FinTech start-up providing services in the retirement plan industry to small and mid-size businesses.

Senior ERISA Attorney Vice President

Ascensus
03.2021 - 07.2021
  • Supported transition of prior employer's book of business to Ascensus after an acquisition.
  • Played key roles on both sides of the deal, including complex analysis of plans and business systems to ensure smooth transition of clients.

Vice President, Legal Officer III: Retirement & Institutional Services

BB&T (now Truist)
  • Managed in-house legal services group providing legal and compliance support for consultants and clients.
  • Focus on 401(k), 403(b) 457 and nonqualified retirement plans from design through document drafting.
  • Extensive experience with the EPCRS correction process including representing clients before the IRS and DOL.
  • Extensive interaction with the operations team regarding systems, compliance, and governmental filings.
  • Internal and external speaking on industry topics.

ERISA Benefits Consultant

Self-employed
  • Provided contract services to a variety of businesses.
  • Primarily contract review, dispute resolution with service providers, M&A issues and error corrections.

Senior Attorney

Buck Consulting
  • Monitor and analyze legal and regulatory changes affecting employer sponsored health and welfare plans, retirement plans and other related HR and compensation issues.
  • Extensive research on breaking legal issues, drafting and editing publications, white papers, reports, and other intellectual capital.

Assistant Vice President, Research & Technical Services

Aon Consulting
  • Respond to consultants' complex legal/technical questions on health and welfare related issues.
  • Research, write, edit, and peer review white papers and other written collateral.
  • Write model documents, review service contracts, review SPDs, extensive writing and reviewing of HIPAA BAA's.
  • Develop and conduct educational webcasts for both consultants and clients, and public speaking translating technical employee benefit laws into practical, easy to understand terms.
  • Major laws focused on were ERISA, IRC Sections 125, 129 and 105, COBRA, FMLA, HIPAA, USERRA, and state insurance laws.

Assistant General Counsel

Greensboro Associates, Inc.
  • Company Overview: Company acted as centralized benefits department for an international conglomerate.
  • Services involved legal management of multi-million dollar defined benefit and defined contribution plans, a master pension investment trust, a self insured medical plan covering employees in approximately 25 states, multiple non qualified deferred compensation plans, and life/AD&D and long term disability plans.
  • Reporting directly to the General Counsel, responsibilities included drafting benefit plans amendments and board resolutions for self-defined DB, DC, and welfare plans, negotiating insurance contracts, SPDS and QDROs, management and review of nondiscrimination testing, preparation of IRS filings such as Forms 5500, 5310 and 5300, mergers and acquisition due diligence, and consultation with respect to interpretation and legal consulting services.
  • Additional significant experience in other HR matters such as ADA, FMLA, and the ADEA.
  • Company acted as centralized benefits department for an international conglomerate.

Attorney, Human Resources Consulting Group

Ernst & Young
  • Analyzing legal compliance issues surrounding qualified and nonqualified pension and welfare benefit plan issues.
  • Assignments included amending, restating, and drafting benefit plans, drafting and reviewing SPDs and other employee communication materials, VCR submissions, and preparation of Form 5500 filings.

Education

Juris Doctorate -

Case Western Reserve School of Law
Cleveland, OH

B.S. - Business Administration, Biology

Heidelberg College
Tiffin, OH

Skills

  • Strategic compliance and risk management
  • Regulatory compliance
  • Risk assessment
  • Legal research and writing
  • Problem resolution
  • Effective communication
  • Analytical thinking
  • Contract evaluation
  • Intellectual property law and management
  • Policy development and implementation
  • Team development in legal contexts
  • Regulatory analysis and research
  • Cross-functional collaboration
  • Product support and collaboration
  • Executive decision-making
  • Corporate governance strategies
  • Marketing strategy development
  • Complex problem solving
  • Training and public speaking skills
  • Long-term business strategy development
  • Project management expertise

Affiliations

  • Association of Corporate Counsel
  • Financial Technology Association
  • American Bar Association
  • NC Bar
  • NC Bar Association
  • OH Bar
  • High Point NC Judicial District Bar
  • NCEO
  • ESOP Association
  • American Society of Pension Professionals

Websites

References

Available Upon Request

Timeline

Associate General Counsel, Product and Compliance

Human Interest Inc.
07.2021 - Current

Senior ERISA Attorney Vice President

Ascensus
03.2021 - 07.2021

Vice President, Legal Officer III: Retirement & Institutional Services

BB&T (now Truist)

ERISA Benefits Consultant

Self-employed

Senior Attorney

Buck Consulting

Assistant Vice President, Research & Technical Services

Aon Consulting

Assistant General Counsel

Greensboro Associates, Inc.

Attorney, Human Resources Consulting Group

Ernst & Young

Juris Doctorate -

Case Western Reserve School of Law

B.S. - Business Administration, Biology

Heidelberg College

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Wendy J. Baker