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Central Supervision Analyst

2 months ago

St Louis, United States Stifel Financial Full time
Description

Summary

The Central Supervision Analyst provides first-level supervisory review function for assigned Branch Managers and Financial Advisors of the Central Supervision Department.

Essential Duties & Responsibilities

  • Review, analyze, approve and/or escalate money movement requests.
  • Conduct verification calls to confirm client instructions, ensure veracity of request, and minimize risk
  • Identify and escalate irregularities to Branch Score Cards
  • Support Central Supervision Supervisors/Managers with reviewing, monitoring, creating, and following up on reports.
  • Prepare Account Questionnaires to be completed by the FA as needed.
  • Assist in the review of monthly detail statements. Contact the branch to verify information as needed.
  • Follow up with branch staff on requests for information generated during ProSurv reviews.
  • Gather information useful in reviewing/responding to account inquiries and requests for action initiated by Compliance.
  • Gather information useful in reviewing any potential concerns regarding specific account or FA activity.

Qualifications

  • Knowledge of principles and processes for providing customer and personal services. This includes customer needs assessment, meeting quality standards for services, and evaluation of customer satisfaction.
  • Understanding of the core supervisory functions conducted by Central Supervision.
  • Ability to meet deadlines and provide status reporting on current projects and assignments.
  • Working knowledge of the supervisory tools utilized by Central Supervision.

Education & Experience

  • Bachelor's Degree in Financial field or equivalent education and experience combination.
  • 1+ years' financial service or branch operations experience required.

Licenses & Certifications

  • Series 7 required; Series 63 or 66 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.