Operations Associate Level 1 (Retirement & Reporting)

Job Locations US-AL-Birmingham
ID 2024-10713
Position Type
Experienced Professional


The Associate is responsible for daily work that is primarily routine in nature and normally covers a specific sub-set of duties within a team. The expectations of the Associate are that he/she performs their duties with a high level of attention to detail and excellent customer service. Additionally, the Associate is expected to cross train within the various other areas of their team to assist and help back-up those areas when needed.


Responsible for daily activities related to tax reporting for client accounts including, but not limited to the following:

  • Identify, track, and work daily breaks and out of balances for tax reporting items
  • Monitor & work reports for illogical distributions, cash entries, and securities received and delivered
  • Monitor & process RMD requests for retirement accounts
  • Review & process state and federal tax payments for client accounts
  • Review and correct tax statement to clients
  • Process annuities and other alternative investments
  • Maintain an understanding of team expectations and company policies
  • Shared responsibility for team phone and e-mail coverage
  • Keep management informed on any unusual requests and potential issues
  • Maintain prompt and regular attendance
  • This list of duties and responsibilities is not intended to be all-inclusive and can be expanded to include other duties or responsibilities that management deems necessary



  • Bachelor’s degree in business, finance or related field or equivalent work experience
  • Some prior work experience in banking or securities related field preferred
  • Series 99, or equivalent (or ability to obtain within 6 months of employment)
  • Strong critical thinking and analytical skills with high attention to detail
  • Excellent organizational and time management skills with the ability to multi-task
  • Effective communication skills – oral and written, with an emphasis on customer service
  • Proficiency in Microsoft Office applications including, but not limited to Outlook, Excel, Word and PowerPoint
  • Ability to take direction, work independently and within a team environment
  • Adaptable to change in a highly regulated industry
  • Must be authorized to work in the US for any employer

#LI-Onsite #LI-GM1


Sorry the Share function is not working properly at this moment. Please refresh the page and try again later.
Share on your newsfeed