Overview
Project Manager – Financial Operations; RIA or B/D Jobs in Carpinteria, USA at Valid8 Financial, Inc.
Position: Project Manager – Financial Operations (RIA or B/D)
Headquartered in beautiful Carpinteria, California, Plan Member is a growing financial services firm serving hundreds of thousands of clients nationwide. For more than three decades, Plan Member has provided premiere retirement and investment services to individual investors as well as employees of education, nonprofits, governmental and private sector organizations. Plan Member has been a top-ranked fee-based broker dealer since 2004 and top-ten ranked for new retirement plans added and K-12 retirement plans.
With a mission of making a positive difference for our Partners, Members and Employees, Plan Member provides generous benefits and a personalized company culture that champions career growth and is looking for highly motivated individuals to join its growing team.
Location
Location Information: On-Site at our Carpinteria, CA Headquarters
Wage Band Salary Range
Starting salary is typically between $66,000 and $75,000 annually, however, it is ultimately determined by the scope of the position, the candidate’s relevant experience, credentials/certifications and internal equity. In addition to salary, benefits include, PTO, health, medical, vision, disability, life insurance benefits as well as 401(k), profit‑sharing retirement program and much more.
Job Summary
This position will support Operations desks based on volume and needs and may be required to train on additional desks. This person should be capable of performing all tasks related to Business Analyst Level 1 and may be required to assist with those responsibilities. Business Analyst Level 2 is responsible for Level 2 projects and processes, which may include but are not limited to: quarterly qc’s, acting as liaison between Operations Stakeholders and IT on systems specifications, project plan coordination and testing.
Additional projects and processes will be assigned at the Manager’s discretion. This person will also be responsible for processing department SR/RRs.
Major Duties and Responsibilities
- Additional support and processing to listed desks based on volume and needs, SOP review and recommendations
- Responsible for Level 2 Projects and Processes, which may include but are not limited to:
- Ad Hoc Projects
- Quarterly QC’s – fees, statements, net change reports
- Responsible for yearly Operations audits
- Coordinating on behalf of Operations Stakeholders, internal and external technology including documenting specs, coordination of work plan on new systems, and tracking issues on existing system and testing.
- Analyze and evaluate problematic trends in operations and/or systems processing and recommend solutions to management
- Process department Service Request/Research Request
- Work closely with department managers in evaluating processes to identify operational breakdowns and make recommendations for modifications and enhancements. Analyze, evaluate, and report trends to make recommendations for training needs and enhancements to management
Business Continuity Essential Job Function
This position is deemed an “Essential Staff” position for the purpose of our Business Continuity Plan “BCP”. This distinction means you are expected to be fully prepared to perform essential functions of your job remotely as deemed applicable and necessary by your manager and the Company upon declaration of a BCP event.
- Analytical Thinking. Information Seeking. Scientific Acumen. Strong analytical and data analysis skills, including proficiency in Excel or other data analysis tools.
- Excellent written and verbal communication skills.
- Quality Focus. Time Management. Detail-oriented with strong organizational skills. Ability to meet established deadlines.
- Ability to work collaboratively in a team environment.
- Compliance. Basic understanding of financial services and industry regulations (knowledge of specific regulations may be required depending on the institution).
- Learning Agility. Familiarity with process improvement methodologies (e.g., Six Sigma, Lean) is a plus but not always required for an entry-level role.
- Deliberate Decision Making.
- 2-4 years of project management. Preferred in a financial institution.
- 2-4 years industry experience with a Broker/Dealer or other financial…
Title: Project Manager – Financial Operations; RIA or B/D
Company: Valid8 Financial, Inc.
Location: Carpinteria, USA
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