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Central Supervision Associate

Company: Stifel Financial Corp.
Location: Fort Collins
Posted on: September 20, 2022

Job Description:

SUMMARYThe 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.

Keywords: Stifel Financial Corp., Fort Collins , Central Supervision Associate, Other , Fort Collins, Colorado

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