• Transactional Processing:
  • Review transactions to ensure they are in compliance with established IRS guideline of information reporting on forms series 1099 and 5498.
  • Conduct timely and relevant escalation of issues to departments for reporting corrections.
  • Provide training to departments based on correction analysis.
  • Update quarterly & annual online postings and client mailings.
  • Identify, propose and implement policy & process changes to ensure process efficiency and mitigate company risk.
• Reporting, Documentation and Record Keeping:
  • Create, analyze and identify trends and report to senior team members.
  • Maintain, organize and document compliance with IRS & company policies and regulations.
  • Generate management reports for management review.
  • Work with vendors to generate series 1099 and 5498 forms.
• Client Service & Support:
  • Respond to internal and external customer tax inquiries and requests.
  • Ensure quality client service by addressing inquiries promptly and professionally, escalating complex issues to senior team members when necessary.
• Department and Regulatory Compliance:
  • Ensure compliance with relevant IRS regulations regarding series 1099 and 5498 tax forms; company and department policies.
  • Ensure SOPs are relevant and updated.
  • Respond to audits and regulatory reviews.
• Department and Regulatory Compliance:
  • Ensure compliance with relevant IRS regulations regarding series 1099 and 5498 tax forms; company and department policies
  • Respond to internal and external customer tax inquiries and requests.
  • Ensure quality client service by addressing inquiries promptly and professionally, escalating complex issues to senior team members when necessary.
• Process Improvement & Risk Management:
  • Propose & implement process improvements to enhance efficiency
  • Organize and execute team discussions to implement best practices.
  • Identify and report potential risks in departments financial transactions and operations.
  • Propose & implement process improvements.
• Team Collaboration, Training and Leadership:
  • Identify team development opportunities and implement with senior team members.
  • Collaborate effectively with internal and external colleagues to achieve departmental and organizational goals.
  • Assist in the training and onboarding of tax team members.
• Projects:
  • Initiate & complete tax projects and initiatives.
  • Develop a library of tax communications
  • Design and implement an advisor and client facing online tax guide

Ability to delegate to ensure company objectives are achieved and standards are met.

Clear and professional communication that conveys expectations and reasoning to ensure timely completion of the objective.

Identify, prioritize and execute necessary actions to achieve an objective or an idea within the provided deadlines.

Ability to use judgement on complex issues and document reasoning.

Knowledge of IRS tax reporting regulations as it pertains to 1099 & 5498 reporting

Adhere to all pertinent rules, regulations, policies, best practices, and ensure behavior in the organization meets the company's standards of conduct

Communicates information required by others in a concise, direct, and unambiguous way.

Empathetic communication that strives to ensure that the receiver clearly understands the specifics and function of the message.

Produce thorough, well-organized documentation that meets government, industry, or organizational standards.

Open and objective approach to conflict management with the intention of resolving issues in an unemotional and constructive manner.

Resilient under pressure and adversity while remain optimistic and persistent and maintain focus on objectives.

Flexible workstyle that can react to competing demands and shifting priorities.

Skilled in the use of multiple PC applications.

Knowledgeable in statistical measures and tools.
Four or more years desired industry experience specific to 1099 & 5498 tax reporting for a Broker/Dealer or other financial institutions.

Bachelor's degree preferred

Available for overtime

Series 6 and 26 preferred