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Human Resources
Department
Operations
Classification
Non-Exempt, Eligible for Pre-Approved Overtime
Location
Carpinteria, CA Headquarters
Position Type
Full Time
Description
As the Business Analyst Level 1 , your primary responsibility is obtaining the necessary knowledge to execute and back up all departments in Operations. This position will have an emphasis on supporting Operation’s desks based on volume and needs. In times when there is no immediate need for support, the analyst will rotate to the respective desks and provide periodic support to each desk. This person will assist with Level 1 projects and processes, which may include but are not limited to: working as part of the annual tax team, annual audits, the uncashed check and escheatment process, and quality control over various processes (i.e. advisory fees, statements). The position will also be responsible for researching and handling department Research and Service requests. In addition, the analyst is responsible for running daily and weekly volume reports and analyzing volume needs and potential.
Salary Range:
Starting salary is typically between $55,000 and $63,000 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.
Responsibilities
- Ongoing rotation to listed desks for training
- Provide support and processing to Operation’s desks based on volume and needs
- Research Request and Service Request Process
- Level 1 Projects and Processes, which may include but are not limited to:
- Part of Annual Tax Team
- Annual Audits
- Escheatment and Uncashed Check process
- Quality Control over various processes
- Analyze and evaluate problematic trends in operations and/or systems processing and recommend solutions to management
- Running and analysis of daily and weekly department reports. Report back to managers on needs and potential issues.
- 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
Qualifications
• Organizational Citizenship
• 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. Familiarity with process improvement methodologies (e.g., Six Sigma, Lean) is a plus but not always required for an entry-level role.
• Deliberate Decision Making.
Education
• 1-3 years industry experience with a Broker/Dealer or other financial institution
• High School Diploma required.
• Bachelor’s degree in Finance, Accounting, Business Administration, or a related field (or equivalent work experience) is a plus.
• FINRA SIE required