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Central Supervision Quality Control Analyst
1 month ago
The Central Supervision Quality Control Analyst is responsible for assisting the Quality Control Manager in performing quality control review over the Central Supervision areas and their assigned retail branches.
Essential Duties & Responsibilities
- Create and monitor established Central Supervision metrics that are used for department quality control purposes.
- Monitor and maintain department supervisory procedures by conducting quality control testing to provide necessary updates for the Central Supervision Quality Control Manager.
- Monitor completion of Branch Office Manager Scorecards in order to provide completion reporting to the Central Supervision Quality Control Manager.
- Conduct quality control assessment over account approvals and asset movement submissions to provide assessment results to the Central Supervision Quality Control Manager.
- Monitor reviews to ensure department service standards are achieved to provide results of the review to the Central Supervision Quality Control Manager.
- Knowledge of current laws, government regulations, and agency rules including SEC/Exchange rules/regulations, industry practice and Stifel policies, procedures, and their application.
- Strong background in Microsoft Excel for the purpose of developing metric reporting.
- Working knowledge of the supervisory tools utilized by Central Supervision.
- Understanding of the core supervisory functions conducted by Central Supervision.
- Ability to meet deadlines and provide status reporting on current projects and assignments.
- B.S. or B.A. in the Financial field or equivalent education and experience combination.
- 1+ years experience.
- Series 7/66 required.
- Proficient in Microsoft Word, Excel, PowerPoint, Outlook
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’s bank and trust companies are affirmative action and equal opportunity employers. All candidates will be considered without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, marital status, veteran status, genetic information or any other protected characteristic under applicable law. If you would like more information regarding Equal Employment Opportunity rights and protections, please review the following posters: Know Your Rights and Pay Transparency.
Stifel is an Equal Opportunity Employer.
