Financial Services Operations Assoc. Level 1Job CodeFinancial Services Operations Assoc. Level IFLSA StatusNon ExemptDeptOperations Reports toSr. Operations AssociateCompany Profile 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. Location Location Information: On-Site at our Carpinteria, CA Headquarters Wage BandSalary Range: Starting salary is typically between $44,000 and $49,000 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. Job Summary As a Financial Services Operations Associate Level I, you will play a crucial role in the efficient and accurate operation of our financial services department. This entry-level position is responsible for performing a variety of financial tasks, including data entry, and record maintenance, and basic financial analysis. The ideal candidate should possess a strong attention to detail, a commitment to accuracy, and the ability to work effectively within a team. 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. Major Duties and Responsibilities
Administrative, Data Entry and Record Keeping: Input and update financial data into the company's databases and software systems. Maintain and organize client records, ensuring accuracy and compliance with company policies and regulations. Transaction Processing: Assist in ensuring that they are completed accurately, on time and in compliance with established SOPs. Verify the accuracy of financial documents and resolve discrepancies as needed. Customer Support: Provide support to internal and external customers regarding financial inquiries and requests. Address inquiries promptly and professionally, escalating complex issues to senior team members when necessary. Compliance and Regulatory Requirements: Ensure compliance with relevant financial regulations and company policies. Assist in the preparation of documentation for audits and regulatory reviews. Process Improvement: Suggest process improvements to enhance efficiency and accuracy in financial operations. Participate in team discussions to implement best practices. Team Collaboration: Collaborate effectively with colleagues to achieve departmental and organizational goals. Assist in training and onboarding of new team members as required. Additional Job Duties
- Fulfillment Specific Responsibilities
- Perform day-to-day mailings to clients, reps, and third party vendors
- Receive, sort and distribute incoming mail and packages to PSC staff
- Receive, sort and scan (OES) operations mail in a timely manner
- Produce, assemble, pack and ship marketing materials upon request
- Pick up and drop off mail to and from Post Office on a rotating basis
- Logging of live checks received at PSC in internal check blotter
- Scan operations live checks and check copies to custodian bank daily using Remote Deposit Capture on a rotating basis
- Provide support to fulfillment/OES supervisor in production color machine print job requests and troubleshooting from creative services and marketing departments
Business ContinuityEssential Job Function: This is an Essential Job Function Essential Staff position for the purpose of our Business Continuity Plan BCP . This distinction means you are expected to be fully prepared to perform essential functions of your job remotely as deemed applicable and necessary by your manager and the Company. Competencies Required
- Qualifications/Competencies Required:
- Quality Focus. Attention to detail and numerical accuracy.
- Proficiency in using Microsoft Office Suite
- Active Listening. Strong communication and interpersonal skills.
- Extended Task Focus. Information Seeking. Ability to understand and follow directions.
- Time Management, Composure and Resiliency. Ability to meet established deadlines.
- Accountability. Ability to work independently and as part of a team.
- Adaptability. Willingness to learn and adapt to changing financial processes and technologies.
- Compliance. Knowledge of financial regulations and compliance standards,
- Planning and Priority Setting
- Physical Requirements:
- This role typically requires sitting at a desk and working on a computer for extended periods.
- Minor lifting of up to 25 pounds and carrying of items may be required.
- Service Principles
- 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.
Qualification StandardsEducation, Licenses, Work Experience, Etc.
- 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 0-1 years in a financial services or operations role.
Licenses and/or Certifications Required Current CA driver's license with clean driving record Additional License and/or Certification Information It is encouraged to obtain FINRA licenses, SIE and 99 to be eligible for career advancement. 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. EEOC PlanMember Financial Corporation is an Equal Opportunity Employer. PlanMember does not discriminate on the basis of race, religion, color, sex, gender identity, sexual orientation, age, non-disqualifying physical or mental disability, national origin, veteran status or any other basis covered by appropriate law. All employment is decided on the basis of qualifications, merit, and business need.