tax resolution staff roles and responsibilities

not all preparers are the same.

by jassen bowman
tax resolution systems

it is vital that all tax office staff thoroughly understand their role within the organization and comprehend their responsibilities.

more: case study: building a tax resolution business | market to your ideal clients | one-step vs. two-step marketing | tax resolution: a lucrative opportunity | 5 reasons your firm training needs nano learning | how to turn routine cpe into a new marketing opportunity
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cultivating a culture of innovation is important, especially for a rapidly growing organization, but order must also be maintained. when everybody knows what’s expected of them, life becomes much happier and people work better together.

receptionist / customer service representative

one of the most important and most demanding jobs in your office is that of your front desk person. in most organizations, this is a thankless job, and typically the lowest paying (which it shouldn’t be, to be honest).

the front desk person is not only very visible, but their attitudes, dress, mannerisms, etc., are all observed by every client who walks through the door and every person who calls on the phone. your front desk person needs to be:

• friendly
• courteous
• organized
• methodical
• quick on their feet
• able to flow quickly from task to task

finding such a person is not easy! too many tax professionals assume that just anybody can be a great front desk person, but it’s simply not true. take the time to find the right person for this – it’s genuinely more important to fill this role with the exact right person than even your seasonal tax preparer openings.

primary position responsibilities:

• answer telephone; screen and direct calls
• take and relay messages
• provide information to callers
• greet persons entering office
• maintain calendars and schedule appointments
• provide general administrative and clerical support
• prepare correspondence and documents
• receive and sort mail and deliveries
• file and retrieve documents and reference materials
• monitor incoming emails and answer or forward as required
• prepare outgoing mail for distribution
• fax, scan and copy documents
• retrieve information when requested
• update and maintain internal staff contact lists
• type documents, reports and correspondence
• monitor and maintain office supplies
• monitor and maintain office equipment
• tidy and maintain the reception area
• direct requests and unresolved issues to the designated resource
• keep records of customer interactions and transactions
• maintain customer databases
• maintain and organize client files
• perform work-related errands as requested such as going to the post office and bank
• provide feedback on the efficiency of the customer service process

tax preparer

if you are hiring seasonal tax preparers, these individuals serve as the primary point of contact between your business and your clients. unlicensed, seasonal tax preparers are part customer service reps, part data entry personnel and part tax professional. tax preparers can possess a wide range of skills, abilities and experience.

above all else, a tax preparer should never be tasked with a tax return that is beyond their ability level.

it is suggested that you create and maintain several defined levels of tax preparer within your office, which correspond to return difficulty. for example:

basic preparer: limited to returns with only w-2 income, schedules a & b, eic, and child-related tax credits.

junior preparer: schedule c, d, & e returns, education credits, complex schedule a items (casualty losses, 2106, etc), amended returns, etc.

senior preparer: farm returns, amt situations, prior year returns, 1120/1065 returns, etc.

primary position responsibilities:

• prepare, compile and sort documents for data entry
• check source documents for accuracy
• obtain further information for incomplete documents
• update data and delete unnecessary files
• explain refer-a-friend program and collect referrals
• collect signature on 7216 disclosure and other necessary documents
• complete 8867 and other return-related checklists
• enter data from source documents into prescribed computer database, files and forms
• scan documents into document management systems or databases
• store completed/pending files in designated locations
• maintain records of activities and tasks
• respond to requests for information and access relevant files
• print information when required
• comply with data integrity and security policies
• maintain own office equipment and stationery supplies

return review/delivery

this entire post is based on an appointment-based business model. in most such offices, the work of the tax preparer will be reviewed by another person. the reviewer might be the business owner, or another tax preparer at the same or higher level. after the return has been reviewed, the client then makes another appointment to come in to sign documents, pick up return copies, pay and e-file.

return delivery may be solely the responsibility of the business owner, or be sent back to the tax preparer. there various ways to structure the process of return review, client delivery and fee collection. even if these tasks are distributed across multiple individuals, they still need to be accomplished.

based on your own staffing and work flow, this is the staff role that you will probably need to customize most extensively.

primary position responsibilities:

• verify data against client source documents and correct data where necessary
• verify w-2 and 1099 dollar amounts
• for returns with refunds, double-check direct deposit account numbers
• double-check spelling of names and addresses
• verify tins
• run tax software “diagnostic” mode and clear any errors or warnings
• store completed/pending files in designated locations
• maintain records of activities and tasks
• collect copies of any missing source documents or ids
• review return needs marked in file/crm system
• collect signatures on 8879 and other necessary documents
• comply with data integrity and security policies
• review refund/balance due information with client
• answer client questions in regard to return
• collect fee payment from client if not prepaid
• have coupons been deducted from invoice?
• have refer-a-friend credits been applied?
• reiterate benefits of refer-a-friend program and collect referrals if not previously done
• complete return review/signature checklist in file or crm with client present
• add completed return to e-file transmission queue in tax software
• log any significant data entry or return preparation errors into the client file/crm for review with the preparer

office manager

your office manager, if you have one, is the glue that holds your staff together. if you don’t have a dedicated office manager, then the majority of these responsibilities inevitably fall to the business owner. if you are trying to grow your practice, the following list of common responsibilities should make it quite clear that you need to hire an office manager.

primary position responsibilities:

• assign and monitor responsibilities and tasks among office staff
• ensure office equipment is properly maintained and serviced
• conduct research; collect and analyze data to prepare reports and documents
• arrange and coordinate meetings and events
• review operating practices and implement improvements where necessary
• prepare and edit correspondence, communications, presentations and other documents
• maintain office filing and storage systems
• update and maintain databases such as mailing lists, contact lists and client information
• allocate available resources to enable successful task performance
• evaluate and manage staff performance
• aid in the recruitment and selection of new staff
• coach, mentor and discipline office staff
• ensure filing systems are maintained and current
• ensure security, integrity and confidentiality of data
• oversee adherence to office policies and procedures
• analyze and monitor internal processes
• monitor and maintain office supplies inventory
• handle customer inquiries and complaints
• manage internal staff relations
• monitor and record hours worked including overtime
• monitor vacation and sick leave
• monitor and record expenses; maintain office budget
• process accounts receivable and accounts payable
• complete e-file transmission daily
• return e-file rejections to preparer for correction
• assist with return review and tax preparation overflow

marketing manager

for small tax firms, this role will normally be filled by the business owner. however, in larger firms there may be a dedicated marketing manager who handles lead generation, lead followup and related tasks. other firms may split the associated roles and responsibilities between multiple people, such as the office manager and an administrative assistant.

regardless of how the marketing manager position is split up, one thing is certain:

this is the single most important role within the entire tax firm.

no marketing = no clients = no revenue. that’s an equation for sadness right there.

responsibilities:

• manage and coordinate all marketing, advertising and promotional staff and activities
• conduct market research to determine market requirements for existing and future service offerings
• analyze customer research, current market conditions and competitor information
• develop and implement marketing plans and campaigns
• expand and develop marketing platforms
• manage lead followup through appointment-setting
• monitor, review and report on all marketing activity and results
• deliver marketing activity within agreed budget
• report on return on investment and key performance metrics
• aid in developing pricing strategy
• monitor industry best practices

telemarketer

you may be surprised to see this particular position listed in a tax office guide. however, a dedicated part-time telemarketer can be a great aid to your tax office for a number of reasons. for the dedicated tax resolution firm in particular, telemarketing used as an adjunct to your other lead generation activities will drastically increase your overall marketing roi.

primary position responsibilities:

• contact prior-year clients who have not yet set appointments in order to get them on the schedule
• place followup phone calls to direct mail pieces
• make cold calls to local businesses to collect email addresses for email newsletter
• make cold calls to new movers to welcome to the neighborhood and offer services
• explain your services to potential clients
• deliver scripted sales presentations to prospects over the phone
• provide pricing details
• handle customer questions
• obtain customer information including names and addresses
• record customer details including reaction to the service offered
• input prospect contact information into crm system
• obtain contact details of potential client from public record sources and purchased lists
• directly schedule appointments for tax preparers and licensed tax professionals
• conduct customer and marketing surveys
• answer telephone calls from potential customers who are responding to advertisements (you can have tracking phone numbers used in your marketing ring directly to your telemarketer during their working hours)
• contact customers to follow up on initial interaction

licensed tax professional

not all tax firms will have a licensed tax professional on board. for those firms offering full-service collections representation (“tax resolution”), appeals representation and other services that require a licensed tax professional, this role obviously needs to be filled. for many firms, this may be the business owner also, of course.

if you are an unlicensed return preparer, bear in mind that the irs has severely restricted your already limited representation rights (see rev. proc. 2014-42). in order for you to actually perform tax resolution work, you must be an ea, cpa or attorney – this simply isn’t optional. if you think that you can get away with just becoming an afsp participant, you are sadly mistaken. if you’re going to take the afsp exam anyway, suck it up and take the special enrollment exam and become an ea. ok, end of rant.

primary position responsibilities:

• compile and analyze financial information to prepare financial statements, including monthly and annual accounts
• ensure financial records are maintained in compliance with accepted policies and procedures
• make certain all financial reporting deadlines are met
• ensure accurate and timely monthly, quarterly and year-end close processes
• establish and monitor the implementation and maintenance of accounting control procedures
• resolve accounting discrepancies and irregularities
• monitor and support taxation requirements
• represent tax clients in front of state and federal authorities in regard to examination and collections matters
• evaluate and advise on business operations, including revenue and expenditure trends, financial commitments and future revenues
• collect and analyze financial information to recommend or develop efficient use of resources and procedures, provide strategic recommendations and maintain solutions to business and financial problems
• ensure compliance with relevant laws and regulations and integrity of financial data

bookkeeper

if your firm offers year-round bookkeeping services, a dedicated bookkeeper can be a valuable asset to your business. despite the growing use of services such as quickbooks online and xero, most small businesses still need significant assistance with their internal bookkeeping processes. filling this position on even a part-time basis can drastically increase your profitability and leverage your own time.

primary position responsibilities:

• check and verify source documents such as invoices, receipts, computer printouts
• transfer data to general ledger
• reconcile and balance all accounts
• draw up financial statements (trial balance, income statement, balance sheet)
• collate and analyze account data and generate financial reports
• track and maintain inventory records
• manage accounts payable and accounts receivable for clients
• maintain client accounting software database
• assist with audits

payroll processor

if your firm offers payroll services in volume, and you choose not to outsource this function to another company, then a dedicated payroll processor will be necessary on at least a part-time basis. this role can often also be filled by your bookkeeper or an administrative assistant who is capable of performing the associated tasks.

primary position responsibilities:

• prepare and process payroll
• maintain client reporting systems for hours/salaries
• print and distribute checks
• calculate and prepare tax payments
• advise clients of ftd requirements, or make eftps deposit on their behalf
• prepare 941/940 and state employment tax returns

technology note: i have become a big fan of online payroll provider gusto.com. they have a very firm-friendly partner program, and they take their relationships with their tax and accounting firm partners very seriously. most small firms will be better off working with gusto as a partner instead of processing payroll internally for both themselves and their clients.

posted on september 23, 2017