Operational Client Reporting & Control Associate bei Stephens Inc.

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

• Alpha/Numeric Data Entry
• Microsoft Excel
• PowerPoint