Project Manager - Financial Operations (RIA or B/D)

PlanMember Financial Corporation•Carpinteria, CA

8h•Onsite

About The Position

Headquartered in beautiful Carpinteria, California, PlanMember is a growing financial services firm serving hundreds of thousands of clients nationwide. For more than three decades, PlanMember has provided premiere retirement and investment services to individual investors as well as employees of education, nonprofits, governmental and private sector organizations. PlanMember 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, PlanMember provides generous benefits and a personalized company culture that champions career growth and is looking for highly motivated individuals to join its growing team. 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.

Requirements

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
Deliberate Decision Making.
2-4 years of project management.
2-4 years industry experience with a Broker/Dealer or other financial institution
High School Diploma required.
FINRA LICENSE – SIE within 6-months of acquiring study materials.
PMP Certification or 1 year of Project Management experience with the ability to obtain certification within 6 months.

Nice To Haves

Bachelor’s degree in Finance, Accounting, Business Administration, or a related field (or equivalent work experience) is a plus.
Familiarity with process improvement methodologies (e.g., Six Sigma, Lean) is a plus but not always required for an entry-level role.

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