Operational Client Reporting & Control Associate

Stephens Inc.Little Rock, AR

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Job 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

Bachelor's degree in Accounting, Finance, Business Administration, or related field
3+ years of relevant experience
Equivalent combination of education and experience considered

REQUIRED TESTING

Submit 10x as many applications with less effort than one manual application.