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Charles Schwab · 19 hours ago

Regulatory Document Specialist

Austin, TX

Full-time

Hybrid

New Grad, Entry Level

Charles Schwab is a financial services company that empowers employees to make an impact on their careers. The Regulatory Document Specialist role is focused on overseeing regulatory and conversion notice queues, fulfilling participant regulatory notices, and managing client document approvals to ensure high-quality service and compliance.

Financial Services

Responsibilities

Provide oversight of various participant regulatory and conversion notice queues

Identifying creative solutions to unique client needs

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

Streamlining workflows to meet key deliverables and exceed client expectations

Qualification

Regulatory Notice fulfillmentQualified Retirement Plan AdministrationDocuSign systemMicrosoft OfficeMulti-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