Central Supervision Associate
Company: Stifel Financial Corp.
Posted on: September 16, 2022
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
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
Assist Central Supervision Supervisor/Manager on various
General understanding, knowledge and experience in financial
Ability to identify when something is wrong or is likely to go
Ability to combine pieces of information to form general rules or
conclusions (includes finding a relationship among seemingly
EDUCATION & EXPERIENCE
High School diploma or equivalent experience required. Bachelor's
1+ years' financial service or branch operations experience
Established in 1890, Stifel is one of the nation's leading
full-service wealth management and investment banking firms. Stifel
serves clients from more than 400 offices across the United States
and ranks as the nation's seventh largest full-service investment
firm in terms of number of financial advisors. We are also a
leading provider of investment banking services to the middle
market, a top-ten municipal bond underwriter, and home to one of
the industry's largest research franchises. In addition our Stifel
Bank subsidiary provides a comprehensive range of banking
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
Keywords: Stifel Financial Corp., Bellevue , Central Supervision Associate, Other , Bellevue, Nebraska
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