Central Supervision Associate

Stifel • St. Louis, MO

2d

About The Position

The Central Supervision Associate provides office support and reviews email for assigned Private Client Group branches for accuracy and compliance. The role reviews electronic communications against Firm and industry regulations, identifies and escalates trends or repeat concerns, communicates compliance policies to branch teams, supports client-document processing, and assists the Central Supervision Supervisor/Manager with projects.

Requirements

• General understanding, knowledge, and experience in the financial industry.
• Ability to identify when something is wrong or is likely to go wrong.
• Ability to combine information to form general rules or conclusions, including identifying 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 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.
• Effectively communicate Compliance policy with branch teams.
• Help edit, send, review, and upload client documents.
• Assist the Central Supervision Supervisor/Manager with various projects.

Benefits

• Health, dental, and vision care
• 401(k)
• Wellness initiatives
• Life insurance
• Paid time off

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Education Level: High school or GED