Central Supervision Associate
Company: Stifel Financial Corp.
Posted on: September 18, 2022
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 &
- 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
- 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
unrelated events).EDUCATION & EXPERIENCE
- High School diploma or equivalent experience required.
Bachelor's degree preferred.
- 1+ years' financial service or branch operations experience
Keywords: Stifel Financial Corp., Casper , Central Supervision Associate, Other , Casper, Wyoming
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