Financial Ops Supervisor at Roth Staffing Companies in Carpinteria, California

Job Description:

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