Regulatory Document Specialist

Your opportunity

At Schwab, you’re empowered to make an impact on your career. Here, innovative thought meets creative problem solving, helping us “challenge the status quo” and transform the finance industry together.

We believe in the importance of in-office collaboration and fully intend for the selected candidate for this role to work on site in the specified location(s).

The goal of Retirement Operations is to meet the needs of Retirement Plan Services by providing the best client service possible as it relates to the recordkeeping aspects of Defined Contribution Retirement Plans. Specifically, this Specialist role within Retirement Ops is responsible for providing oversight of various regulatory and conversion notice queues, creating and fulfilling participant regulatory notices, supporting conversion notices, and managing client document approvals via the DocuSign system.

What You'll Do:

A Specialist is expected to provide oversight of various participant regulatory and conversion notice queues and identifying creative solutions to unique client needs. The position responsibilities include, but are not limited to, responding to internal partner inquiries, fulfillment of participant regulatory and legal notices, Docusign fulfillment, maintaining quality control and procedures, creating process improvements, mitigating risk, performing participant notice reviews, and streamlining workflows to meet key deliverables and exceed client expectations.  They must also demonstrate flexibility and extreme attention to detail to ensure the accuracy of communications being delivered to plan participants. The successful candidate must be able to manage multiple projects with varying deadlines, have a strong understanding of retirement recordkeeping is highly preferred, knowledge of Microsoft Excel, Access and Word, as well as the ability to work collaboratively and communicate effectively with various departments to ensure that client deliverables are met.

What you have

Required Qualifications:

• Knowledge of Microsoft Office
• Extreme attention to detail while demonstrating situational awareness and delivering effective solutions
• Communicates effectively and professionally with experience collaborating across various departments
• Ability to multi-task in a deadline-driven environment coordinating activities of team members and fulfilling regulatory notices with little to no errors

Preferred Qualifications:

• Experience in Qualified Retirement Plan Administration with a focus in Regulatory Notice fulfillment and Participant Benefit Statements
• ASPPA designation
• Creative thought process focusing on continuous process improvement
• Ability to interpret client and participant needs
• Exceptional organizational and analytical skills
• Knowledge of the SRI recordkeeping system at a depth that allows for creativity in facilitating customer requests, researching issues, and challenges the traditional workflows or capabilities
• Experience fulfilling regulatory notices such as Participant Benefit Statement, Participant Fee and Fund Disclosures, QDIA, Safe Harbor, and Automatic Enrollment Notices.
• Knowledge of the DocuSign system