Operational Client Reporting & Control Associate

Stephens • Little Rock, AR

115d

About The Position

The position involves assisting in the coordination of client statement production, messaging, and insert requests with Pershing. The candidate will review and audit client statements monthly to ensure accuracy against books and records. Additionally, participation in quarterly audits of confirmations is required to ensure regulatory compliance with SEA 10b-10, MSRB G-15, and FINRA 2232. The role also includes creating, updating, and auditing disclosures and forms in Pershing and on the company website, monitoring unpriced securities, and coordinating stale pricing resolutions with Pershing. Support for client mailings, including verification letters and recurring communications, is also part of the responsibilities. The candidate will respond to 1099 and K-1 tax inquiries, corrections, and coordinate the submission of tax-related requests. Coordination of Worthless Securities Processing, maintenance of Alternative Investment records, and reconciliation of positions for tracking in the Portfolio Performance system are also required. The role includes assisting with non-standard account Abandoned Property reporting and state zero reporting requirements, providing backup and cross-functional support across the Operations department, and performing other tasks as assigned by management.

Requirements

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

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.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Industry: Funds, Trusts, and Other Financial Vehicles
• Education Level: Bachelor's degree