Central Supervision Associate

SUMMARY

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 Industry regulations.

• 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 documents.
• Assist Central Supervision Supervisor/Manager on various projects.

QUALIFICATIONS

• General understanding, knowledge and experience in financial industry.

• Ability to identify when something is wrong or is likely to go wrong.

• Ability to combine pieces of information to form general rules or conclusions (includes finding a relationship among seemingly unrelated events).

EDUCATION & EXPERIENCE

• High School diploma or equivalent experience required. Bachelor's degree preferred.

• 1+ years' financial service or branch operations experience required.

ABOUT STIFEL

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 services.

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