Financial Operations Analyst

About the Role

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Firm Operations Administrator: II

Bloomington, IL - Onsite

6+ Months

Computes, classifies, and records data relating to financial records or transactions. Performs any combination of routine calculating, posting, and verifying duties of financial data and records. Tasks include computing taxes and valuations, tracking price fluctuations, and verifying records of transactions and holdings. May also check the accuracy of figures, calculations, and postings pertaining to business transactions recorded by other workers.

Reviews non-suitability issues, paperwork issues, facilitates communication between advisors and clients, and assists with servicing tasks for investment and business retirement plans for COUNTRY Trust Bank (CTB). Provide information about products, investment options, account setup, taxation, regulatory/compliance, system access, contributions, distributions, transfers/rollovers/conversions, excesses/recharacterizations, and account information.

• Identify, research, and resolve regulatory and compliance issues on various accounts (IRAs, SEPs, SIMPLEs, HSAs, and retail accounts).
• Review compliance issues, client/FA/vendor escalations, and problem resolution.
• Facilitate communication between advisors and clients, ensuring accuracy and compliance.
• Provide 401(k) affiliate account management and enrichment, supplier management including servicing escalations, SLA monitoring.
• Oversees the most complex client servicing tasks, ensuring high standards of service and compliance, and continuously seeks opportunities to maximize efficiency and productivity.