Defined Contribution Compliance & Documentation Sr. Manager

Apply Now    
Job ID:
20161128-4025
Job Category:
Retirement Services
Relevant Work Experience:
No Work Experience
Current Licenses / Certifications:
None
Position Located In:
TX - Austin, OH - Richfield
Education:
BA/BS
Job Type:
Full Time

We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client’s goals with passion and integrity. We respect and appreciate the diversity of our employees, our clients, and the communities we serve. We challenge conventions strategically to create value for our clients, our firm and the world. We live and bring to life the concept of ‘own your tomorrow’ every day. We champion our employee strengths, guide their development, and invest in their long-term success. We hire optimistic, results-oriented, curious, innovative, and adaptable people with the desire to help our clients and one another succeed.

As a company, we were established by Chuck over 40 years ago to champion Main Street over Wall Street, and to help Americans transform themselves from earners to owners. Through advocacy and innovation, we work to make investing more affordable, accessible and understandable for all.  As we enter our fifth decade, we are looking for talented, innovative and driven people who believe they can help themselves, and our clients, create a better future.

Our Opportunity:

The Senior Manager is responsible for the management and coordination of internal department and Schwab Retirement Plan Services, Inc. (SRPS) initiatives, drafting complex legal retirement plan documents and mentoring junior team members.  This individual serves as a liaison with colleagues on the development of new policies, procedures and legal documentation for product development and/or regulatory requirements that impact retirement plan documents and SRPS services agreements.  In addition, this individual will be responsible for delivering consultative, technical support and accurate plan documents to internal partners, clients and their counsel. Requires extensive knowledge of IRS and DOL regulations regarding qualified retirement plans.

What you’ll do:

  • Collaborate effectively and accurately in the completion of complex document drafting assignments, discovery and correction of potential compliance issues and escalated situations
  • Represent Document Services in SRPS initiatives: provide input and recommendations to achieve common objectives; communicate proposed changes effectively to department leaders; upon approval, update internal procedures as needed and effectively train department personnel
  • Analyze, and serve as a subject matter expert in a peer review capacity, drafted documents in tandem with operational considerations; identify potential manual processes; recommend and implement approved alternatives that conform to system capabilities and achieve client objectives
  • Provide consultative support to internal partners, review complex and unique requests with the Legal department and serve as a subject matter expert on calls with clients and their designated consultant and legal counsel 

What you have:

  • Bachelor’s degree or equivalent and 10+ years’ experience in the financial services and/or record keeping industry preferred. Incumbent must have extensive knowledge and research capabilities with respect to IRS and DOL regulations.  Designations: ASPPA QPA and QKA, CEBS, JD or Employee Benefit paralegal certification desired.
  • Extensive expertise in at least 2 core department responsibilities:  Drafting pre-approved documents, amendments, Summary Plan Descriptions, Summary of Material Modifications and ancillary forms; Knowledge of SRPS Services Agreements and preparation of Services Agreement Amendments; Regulatory requirements regarding qualification of Domestic Relations Orders and the ability to resolve unique or escalated issues and/or Full oversight of a long-term department initiative
  • Excellent written and oral communication skills
  • Ability to translate client intention into document drafting  that achieves business objectives
  • Knowledge of organizational policies, procedures, products & services
  • Strong interpersonal, analytical, problem solving, negotiating, influencing, organizational, prioritization, decision-making and conflict resolution skills
  • Ability to effectively mentor and promote professional development of junior team members

What you’ll get:

  • Everyday Wellness: Healthy Rewards, Onsite Fitness Classes, Healthy Choices, Wellness Champions
  • Financial Fitness: 401k Match, Employee Discounts, Personalized advice, Brokerage discounts
  • Work/Life Balance: Sabbatical, New Mothers returning to work Program, Tuition Reimbursement Programs, Time off to volunteer
  • Inclusion: Employee Resource Groups, Commitment to diversity, Strategic partnerships
  • Not just a job, but a career, with an opportunity to do the best work of your life

Learn more about Life@Schwab.

Charles Schwab & Co., Inc. is an equal opportunity and affirmative action employer committed to diversifying its workforce. It is Schwab's policy to provide equal employment opportunities to all employees and applicants without regard to race, color, religion, sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), gender identity or expression, national origin, ancestry, age, disability, legally protected medical condition, genetic information, marital status, sexual orientation, protected veteran status, military status, citizenship status or any other status that is protected by law.


Position Located In:TX - Austin, AZ - Phoenix, OH - Richfield
Apply Now    

Brokerage Products: Not FDIC Insured • No Bank Guarantee • May Lose Value

Charles Schwab & Co., Inc. is an equal opportunity and affirmative action employer committed to diversifying its workforce. It is Schwab's policy to provide equal employment opportunities to all employees and applicants without regard to race, color, religion, sex (including pregnancy, childbirth, breastfeeding, or related medical conditions), gender identity or expression, national origin, ancestry, age, disability, legally protected medical condition, genetic information, marital status, sexual orientation, protected veteran status, military status, citizenship status or any other status that is protected by law. Schwab also does not discriminate against applicants or employees because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant.

At Schwab, we believe that every employee, through their diverse abilities and experiences, can contribute to our growth, innovation and client loyalty. We embrace diversity and are committed to providing equal opportunity to all employees and applicants. If you have a disability, and require reasonable accommodations in the application process, call Human Resources at 800-725-3535. We will be happy to assist you. Schwab will only share your accommodation request with those individuals who have a specific need to know. The request for an accommodation will not affect Schwab’s hiring decisions. All other submissions should be performed online.

The Charles Schwab Corporation provides a full range of securities, brokerage, banking, money management, and financial advisory services through its operating subsidiaries. Its broker-dealer subsidiary, Charles Schwab & Co., Inc. (“Schwab”), Member SIPC , offers investment services and products, including Schwab brokerage accounts. Its banking subsidiary, Charles Schwab Bank (member FDIC and an Equal Housing Lender), provides deposit and lending services and products.