Central Supervision Associate
Stifel•Saint Louis, MO
About The Position
The Central Supervision Associate provides office support and reviews email for assigned Private Client Group branches to ensure accuracy and compliance. The role also supports branch teams with compliance policies, client documents, and projects assigned by the Central Supervision Supervisor or Manager.
Requirements
- General understanding, knowledge, and experience in the financial industry.
- Ability to identify when something is wrong or likely to go wrong.
- Ability to combine information to form general rules or conclusions, including finding relationships among seemingly unrelated events.
- High school diploma.
- 1 to 3 years of financial service or branch operations experience.
- Ability to obtain Series 7, 63 or 66, and Insurance within 6 months of date of hire.
- Proficiency in Microsoft Excel, Word, PowerPoint, and Outlook.
Responsibilities
- Review electronic communications for compliance with Firm and industry regulations.
- Recognize, analyze, and escalate common trends or frequent offenders for further oversight and action.
- Communicate Compliance policy effectively to branch teams.
- Assist with editing, sending, reviewing, and uploading client documents.
- Assist the Central Supervision Supervisor or Manager with various projects.
Benefits
- Health, dental, and vision care
- 401(k)
- Wellness initiatives
- Life insurance
- Paid time off
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
Education Level
High school or GED
