As our Financial Services Operations Supervisor in Purchasing , you will be responsible for performing various financial and administrative tasks to support the operations of a financial institution or department.

You will work closely with team members, and other stakeholders to ensure accuracy, compliance, and efficiency in operational processes.

As the ideal candidate, you should possess strong leadership skills, attention to detail, clear and professional communication, a commitment to accuracy, the ability to work effectively within a team, an in-depth knowledge of financial processes, and a positive attitude.

As the Supervisor, you will be the Subject Matter Expert in the department and will work closely with the Director of Operations on all department matters.

Salary Range :

Starting salary is typically between $65,000 and $73,000 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.

Location Information

On-Site at our Carpinteria, CA Headquarters

This position is considered an essential role day 1, meaning employees in this role must be able to perform their responsibilities without a lapse of time should a business continuity situation arise e.g., COVID-19 Pandemic.

Purchasing Department Specific Responsibilities

• Plan and prioritize daily team workload to ensure efficient and accurate processing.
• Ensure daily preparation and reconciliation is completed timely and accurately.
• Verify and approve all departmental ACH and Wire requests.
• Ensure trade files are properly sent, confirmed, and reconciled prior to daily deadline.
• Service and Research Requests assignment and trend analysis.
• Approve, track, and report Process Improvement implementation.
• Daily department processing as needed.
• Be the Subject Matter Expert (SME) and first escalation point for the department.
• Manage Cost Basis and Tax Lot periodic reporting.
• Ensure compliance with company and department Policy and SOPs.
• Work with Management on process, policy, and SOP improvements.
• Ensure correct outlets are utilized for company, department, and process improvements.
• Manage internal projects to ensure deadlines are met; communicate with internal and external stakeholders to ensure buy-in and understanding throughout the process.
• Present department role PowerPoint to sales representatives and their staff.
• Provide meaningful, timely, and constructive feedback to associates and management.
• Lead weekly team meetings to discuss company, department and individual needs and goals.
• Lead monthly individual developmental meetings to facilitate open and direct dialog with team members to identify department improvements, career goals and employee development.
• Manage and facilitate employee training and development.
• Mentor and train junior team members.
• Complete periodic and annual reviews to be approved by Operations Manager.

Position Information :

This job description is intended to convey information essential to understanding the scope of the position and is not an exhaustive list of skills, efforts, duties, responsibilities, or working conditions associated with it.

PlanMember reserves the right to modify duties or job descriptions at any time.

Qualifications :

Critical Competencies :

• Learn from past errors and pay close attention to work to avoid repeating mistakes.
• Pay attention to small details that others may overlook and maintain a focus on precision.
• Ensure all work and behavior aligns with relevant rules, regulations, policies, best practices and meets the company’s standards of conduct.
• Strive to follow best practices for high quality work.
• Stay informed about current regulations and potential future developments by closely monitoring information sources.
• Demonstrate a strong sense of discipline and responsibility for recordkeeping and meticulous compliance documentation.
• Maintain a positive and professional attitude.

Important Competencies :

• Communicate concisely, directly, professionally and unambiguously in written and oral formats, consider the receiver’s perspective to ensure clear understanding of the message’s specifics and purpose.
• Display a natural curiosity and desire for a deeper understanding about people, processes and systems to ensure you are able to clarify and meet expectations.

Supporting Competencies :

• Prioritize completing all work tasks in a timely manner while remaining responsive to competing demands and shifting priorities.
• Show genuine interest in actively listening and understanding the content and meaning of others' messages.
• Possess intermediate user knowledge of Microsoft 365 Suite focusing on Excel, Word and Outlook.
• Ability to work overtime with less than 24-hour notice.

Service Principles BeEPIIC Framework :

Belonging Foster a unified front, bridging diverse talents and perspectives towards our shared goals. Our unity reflects our commitment to collaborate, respect, and support each other in pursuit of collective success.

Empowerment Fostering a supportive environment where employees are encouraged to take ownership, make decisions, and drive positive change for the company and its customers.

Pride Cherish our work, team, and organization. Our pursuit of excellence and respect for our mission, colleagues, customers, and community fuels our collective success and sense of pride.

Integrity Trust, Credibility, Dependability. Our members and partners trusted us with their financial wellbeing, something we’ll continually earn through integrity in everything we do.

Innovation Embracing change and seeking out creative forward-thinking approaches to better serve our customers and stay ahead of the competition.

Customer Centricity Putting the customer at the heart of each decision and striving to exceed their expectations at every touchpoint.

Education / Licenses :

• High School Diploma required.
• Bachelor’s degree in finance, Accounting, Business Administration, or related field (or equivalent work experience) a major plus.
• Previous experience of four plus years in a financial services or operations role.

Licenses and / or Certifications Required

FINRA SERIES LICENSE 7

Last updated : 2024-06-13