Financial Compliance Reporting Analyst

Who We Are:

Qualifications

• 1 to 2 years mutual fund or financial services experience
• Exceptional oral and written communication, time management, problem framing, and follow-up skills
• Proven ability to multi-task and effectively prioritize a wide range of projects/responsibilities
• Exhibition of organizational skills and conscientiousness; establishes priorities and follows through on tasks to completion
• Strong attention to detail
• Proven ability to work with internal and external clients and vendors
• Proficient use of Microsoft office desktop package
• Strong tax reporting knowledge and some abandoned property/escheatment and mutual fund operations knowledge
• Effective task execution, both as an individual and through team collaboration
• Demonstrated capability to learn quickly
• Ability to work in a fast-paced environment and adapt to change
• Ability to identify and implement process improvement and risk mitigation opportunities

Preferred Qualifications

• Knowledge of general tax reporting practices or regulations preferred
• Knowledge of governmental agency regulations related to the SEC and IRS regulatory practices a plus, but not required
• Navigation of SS&C systems preferred

Responsibilities

• The Financial Compliance Reporting Analyst plays a key role for our firm, providing maintenance and examination of the shareholder account population to ensure we are in compliance with state and federal regulations. The individual is responsible for coordinating the timely processing of various regulatory requirements.
• Execute tax form production (including Late Originals and Corrective Tax Forms) by compiling daily, weekly, monthly and annual audits, execute mock tax form production to validate output, and execute tax jobs in SS&C systems to generate and print tax forms
• Process IRS E-Filing for tax forms by processing registration maintenance to ensure the registration is in the correct format, execute tax jobs in SS&C systems, validate the SS&C E-Filing output, and upload the E-Filing to the IRS website
• Execute IRS B-Notices, C-Notices, IRS Levies, and State Levies
• Notify the IRS of Fund opening/name changes and make updates to SS&C systems for AB corporate actions
• Research and apply state escheatment regulations to AB’s account population
• Perform shareholder outreach on identified escheatable accounts
• Evaluate accounts for contact resolution
• Submit escheatable assets and affiliated shareholder details to states within regulated timeframes
• Process returned mail to maintain up-to-date shareholder records, when available
• Support other functions within the department as business needs arise based on skill and capacity
• Tax Form Production
• Levy Processing
• IRS B & C Notices
• Ownership Reports
• Foreign Account Monitoring
• Account-level Assessments
• State Escheatment (Unclaimed Property)
• Statement Production
• Returned Mail Processing
• Regulated Compliance Mailings
• 1 to 2 years mutual fund or financial services experience
• Knowledge of general tax reporting practices or regulations preferred
• Knowledge of governmental agency regulations related to the SEC and IRS regulatory practices a plus, but not required
• Exceptional oral and written communication, time management, problem framing, and follow-up skills
• Proven ability to multi-task and effectively prioritize a wide range of projects/responsibilities
• Exhibition of organizational skills and conscientiousness; establishes priorities and follows through on tasks to completion
• Strong attention to detail
• Proven ability to work with internal and external clients and vendors
• Proficient use of Microsoft office desktop package
• Navigation of SS&C systems preferred
• Strong tax reporting knowledge and some abandoned property/escheatment and mutual fund operations knowledge
• Effective task execution, both as an individual and through team collaboration
• Demonstrated capability to learn quickly
• Ability to work in a fast-paced environment and adapt to change
• Ability to identify and implement process improvement and risk mitigation opportunities