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Financial Services Operations Supervisor

Job Summary Client

Job Location:

Carpinteria, CA - USA

Yearly Salary: USD 65000 - 73000

Posted: 29 September 2026 (Yesterday)

Application Deadline: 27 December 2026

Vacancies: 1 Vacancy

Job Summary

Job Summary

Client is looking for Financial Services Operations Supervisor in Purchasing. 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 and other stakeholders to ensure accuracy compliance and efficiency in operational processes.
As the ideal candidate you should possess strong leadership skills attention to detail clear and professional communication a commitment to accuracy the ability to work effectively within a team an in-depth knowledge of financial processes and a positive attitude. As the Supervisor you will be the Subject Matter Expert in the department and will work closely with the Director of Operations on all department matters.

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.

Critical Competencies:

Perform all work with excellence and adhere to high standards for quality and integrity.
Learn from past errors and pay close attention to work to avoid repeating mistakes.
Pay attention to small details that others may overlook and maintain a focus on precision.
Ensure all work and behavior aligns with relevant rules regulations policies best practices and meets the companys standards of conduct.
Strive to follow best practices for high quality work.
Stay informed about current regulations and potential future developments by closely monitoring information sources.
Demonstrate a strong sense of discipline and responsibility for recordkeeping and meticulous compliance documentation.
Maintain a positive and professional attitude.

Important Competencies:

Communicate concisely directly professionally and unambiguously in written and oral formats consider the receivers perspective to ensure clear understanding of the messages specifics and purpose.
Display a natural curiosity and desire for a deeper understanding about people processes and systems to ensure you are able to clarify and meet expectations .

Supporting Competencies:

Prioritize completing all work tasks in a timely manner while remaining responsive to competing demands and shifting priorities.
Show genuine interest in actively listening and understanding the content and meaning of others messages.
Possess intermediate user knowledge of Microsoft 365 Suite focusing on Excel Word and Outlook.
Ability to work overtime with less than 24-hour notice.

Service Principles BeEPIIC Framework:

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 well 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.

Education:

High School Diploma required.
Bachelors degree in finance Accounting Business Administration or related field (or equivalent work experience) a major plus.
Previous experience of four plus years in a financial services or operations role.

Licenses and/or Certifications Required: Client SERIES LICENSE SIE & 6. The Series 7 is highly encouraged.

Required Experience:

Manager

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