Apply on Employer Site

Charles Schwab · 13 hours ago

Regulatory Document Specialist

US-TX-Austin

Full-time

Onsite

New Grad, Entry Level

$21.59/hr - $41.25/hr

Charles Schwab is a leading financial services company that empowers employees to make a significant impact in their careers. The Regulatory Document Specialist role focuses on providing oversight of regulatory and conversion notice queues, ensuring quality control, and managing client document approvals, all while delivering exceptional client service in the Retirement Operations sector.

Financial Services

Responsibilities

Provide oversight of various participant regulatory and conversion notice queues

Identify creative solutions to unique client needs

Respond to internal partner inquiries

Fulfill participant regulatory and legal notices

Docusign fulfillment

Maintain quality control and procedures

Create process improvements

Mitigate risk

Perform participant notice reviews

Streamline workflows to meet key deliverables and exceed client expectations

Qualification

Qualified Retirement Plan AdministrationRegulatory Notice fulfillmentDocuSign systemMicrosoft OfficeSRI recordkeeping systemMulti-taskingAnalytical skillsAttention to detailEffective communicationOrganizational skillsCreative thought process

Required

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

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