Job Details
Description
Summary
The Central Supervision Associate is responsible for office support and reviewing email for assigned Branches of the Private Client Group for accuracy and compliance.
Essential Duties &
Responsibilities
- Review electronic communication for compliance with Firm and Industry regulations.
- Recognize/analyze/escalate common trends and/or frequent offenders for further oversight and action.
- Effectively communicate Compliance policy with branch teams
- Help with editing, sending, reviewing and uploading client documents.
- Assist Central Supervision Supervisor/Manager on various projects.
Qualifications
- General understanding, knowledge and experience in financial industry.
- Ability to identify when something is wrong or is likely to go wrong.
- Ability to combine pieces of information to form general rules or conclusions (includes finding a relationship among seemingly unrelated events).
Education & Experience
- High School diploma or equivalent experience required. Bachelors degree preferred.
- 1+ years financial service or branch operations experience required.
About Stifel
Stifel is a more than 130 years old and still thinking like a start-up. We are a global wealth management and investment banking firm serious about innovation and fresh ideas. Built on a simple premise of safeguarding our clients' money as if it were our own, coined by our namesake, Herman Stifel, our success is intimately tied to our commitment to helping families, companies, and municipalities find their own success.
While our headquarters is in St. Louis, we have offices in New York, San Francisco, Baltimore, London, Frankfurt, Toronto, and more than 400 other locations. Stifel is home to approximately 9,000 individuals who are currently building their careers as financial advisors, research analysts, project managers, marketing specialists, developers, bankers, operations associates, among hundreds more. Let's talk about how you can find your place here at Stifel, where success meets success.
At Stifel we offer an entrepreneurial environment, comprehensive benefits package to include health, dental and vision care, 401k, wellness initiatives, life insurance, and paid time off.
Stifel is an Equal Opportunity Employer.