Controller

Controller

Job CodeController

FLSA StatusExempt

DeptFinance

Reports toSVP Finance-CFO

Company 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 Band

Salary Range:

Starting salary is typically between $180k- $200k annually plus bonus, however, it is ultimately determined by the scope of the position the candidate's relevant experience, credentials/certifications and internal equity.

We offer a generous compensation package that includes an attractive benefits package with medical, dental and vision, 401k company match, discretionary profit sharing, PTO, valet parking and more.

Job Summary

The Controller is responsible for managing all internal operations of the Finance Department, as well as assist the CFO with budgeting, financial planning, and management of financial operations for the entire company. Job requires strong accounting and organizational skills.

Proven management experience is also necessary. The Controller will be responsible for all periodic (daily, monthly, quarterly, annual) Accounting and Finance functions, internal/external financial reporting, managing external audits, internal AML audits, issuing and management of promissory notes, treasury, and all corporate banking activities.

Major Duties and Responsibilities

Oversee employees responsible for financial reporting, accounting, billing, collections, payables, payroll, and budget preparation.

Implements internal control policies and procedures for all financial activities.

Oversees employee training programs and identifies training needs of the department.

Maintains a documented system of accounting policies and procedures; implements a system of controls over accounting transaction to minimize risk.

Assist with the company's financial planning, budgeting, and strategic planning activities. Produces the annual budget and forecast; reports significant budget differences to management.

Provide financial analysis support to CFO and Management on capital investments, pricing decisions, and contract negotiations.

Oversees the preparation of periodic financial statements with supporting journal entries, activity reports, financial forecasts, and annual budgets.

Ensures that reported results comply with generally accepted accounting principles (GAAP).

Manage firm's Federal and state tax reporting requirements through management of our external Tax Accountants

State business and local filings

Reviews financial details from past, present, and forecasted operations; identifies development opportunities and improvements.

Assist CFO/Management with development of short- and long-term financial objectives and policies.

Advises business units on and assists with implementation of accounting and budgeting policies.

Financial & Operations Principal responsibilities over accuracy and filing of monthly, quarterly and annual regulatory reports (FOCUS) with the Securities and Exchange Commission (SEC)

and Financial Industry Regulatory Authority (FINRA).

Maintains knowledge of organizational procedures, federal and state regulations, and accounting standards.

Implement and measure benchmarks that will be used to track the company's performance.

Works with external auditors and provides needed information for the annual audits of PFC, PSEC, Profit Sharing Plan, and custody and controls exams.

Ensures compliance with local, state, and federal government requirements.

Monitor banking relationships with CFO, including Bank Line of Credit, Funding covenants & filings

Perform annual anti-money laundering audit

Performs other related duties as necessary or assigned.

Business Continuity

Essential Job Function: This position is deemed an "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 upon declaration of a BCP event.

Competencies Required

Excellent verbal and written communication skills.

Excellent and highly accurate math and accounting skills.

Well-versed in accounting guidance, fed/state tax laws, and regulatory requirements

Strong supervisory, resource development, and leadership skills.

Excellent organizational skills and attention to detail.

Excellent time management skills with a proven ability to meet deadlines.

Qualification StandardsEducation, Licenses, Work Experience, Etc.

Bachelor's degree in Accounting or Business Administration required.

Five years or more of related experience required.

CPA designation or Certified Management Accountant designation strongly preferred.

Proficient with Microsoft Office Suite or related software, and specialized accounting software used by the organization (Navision, Purefacts).

Experienced with ERP conversions and integration.

Licenses and/or Certifications Required

Other as deemed position necessary

Additional License and/or Certification Information

Financial Operations Principal designation (Series 27) preferred, or required post-employment

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.