Financial Ops Supervisor
1 month ago
Supervisor of Financial Purchasing Operations Team
Needed in Carpinteria, CA (In-Person only).
Industry: Financial (Retirement)
Salary Range:
$65k/year and higher
+ Excellent Benefits Package
BA Required in Finance, Accounting, Business Administration Preferred
Job Summary
As a Financial Services Operations Supervisor, 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, clients, and other stakeholders to ensure accuracy, compliance, and efficiency in operational processes.
Major Duties and Responsibilities
Team Supervision:
Operational Efficiency:
Department and Regulatory Compliance:
Transaction Processing
Reconciliation
Client Services & Support
Process Improvement & Risk Management
Reporting, Documentation and Record-Keeping
Technology Utilization
Team Collaboration, Training and Leadership
Set Performance Metrics
Manage Projects
Additional Job Duties
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.
Licenses and/or Certifications Required
FINRA Series License - 7 (or must acquire within 120 days of hire)
All qualified applicants will receive consideration for employment without regard to race, color, national origin, age, ancestry, religion, sex, sexual orientation, gender identity, gender expression, marital status, disability, medical condition, genetic information, pregnancy, or military or veteran status. We consider all qualified applicants, including those with criminal histories, in a manner consistent with state and local laws, including the California Fair Chance Act, City of Los Angeles' Fair Chance Initiative for Hiring Ordinance, and Los Angeles County Fair Chance Ordinance. For unincorporated Los Angeles county, to the extent our customers require a background check for certain positions, the Company faces a significant risk to its business operations and business reputation unless a review of criminal history is conducted for those specific job positions.
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