Defined Contribution Compliance & Documentation Sr
in Richfield, OH / AZ / TX
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.
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
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.