Operational Client Reporting & Control Associate
StephensLittle Rock, AR, US25 days ago
Job type
- Full-time
Job descriptionBachelor's degree in Accounting, Finance, Business Administration, or related field 3+ years of relevant experience Equivalent combination of education and experience considered Alpha / Numeric Data Entry Microsoft Excel PowerPoint
Operational Client Reporting & Control Associate
Job Category : Brokerage Accounting
Requisition Number : OPERA002967
Location : Little Rock, AR 72201, USA
Description
Essential Duties And Responsibilities
- Assist in coordinating client statement production, messaging, and insert requests with Pershing
- Review and audit client statements monthly to ensure accuracy against books and records
- Participate in quarterly audits of confirmations to ensure regulatory compliance (SEA 10b-10, MSRB G-15, FINRA 2232)
- Assist with creating, updating, and auditing disclosures and forms in Pershing and on the company website
- Monitor unpriced securities and coordinate stale pricing resolutions with Pershing
- Support client mailings, including verification letters and recurring communications
- Respond to 1099 and K-1 tax inquiries, corrections, and coordinate submission of tax-related requests
- Coordinate Worthless Securities Processing
- Maintain Alternative Investment records and reconcile positions for tracking in Portfolio Performance system
- Assist with non-standard account Abandoned Property reporting and state zero reporting requirements
- Provide backup and cross-functional support across the Operations department
- Perform other tasks as assigned by management.
Education And Experience
Required Testing
Licenses & Certifications
Required
HIPAA Training
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Client Associate • Little Rock, AR, US