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

PlanMember Financial Corporation•Carpinteria, CA

27d•Onsite

About The Position

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

2-4 years of project management. Preferred in a financial institution.
2-4 years industry experience with a Broker/Dealer or other financial institution
High School Diploma required.
Strong analytical and data analysis skills, including proficiency in Excel or other data analysis tools.
Excellent written and verbal communication skills.
Detail-oriented with strong organizational skills. Ability to meet established deadlines.
Ability to work collaboratively in a team environment.
Basic understanding of financial services and industry regulations (knowledge of specific regulations may be required depending on the institution).

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.
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.

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