Central Supervision Senior Analyst Job Listing at Stifel in Saint Louis, MO (Job ID 8077)

Description

The Central Supervision Senior Analyst assists the Central Supervision Manager/Supervisor in their supervisory review function for assigned Branch Managers and Financial Advisors of the Central Supervision Department. The Senior Analyst assists the Supervisors in all aspects of their job and will be responsible for mentoring junior level Central Supervision Analysts.

• Assist Central Supervision Supervisor in their review of accounts appearing on Monthly Scorecards. Prepare Account Questionnaires to be completed by the FA as needed.
• Assist in review and approval of trade detail on Prosurv.
• Assist in review and approval of asset movements and new accounts as well as other workflow items submitted through Equest
• Assist in the review of monthly detail statements. Contact the branch to verify information as needed.
• Assist in the review of employee outside accounts.
• Contact branch staff to educate them on policies and procedures related to acceptable check deposits.
• 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.
• Mentor other Central Supervision Analysts, ensure best practices and/or processes are being adhered to.
• Travel by car and/or air in conjunction with local, regional and/or national travel may be required.

• 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.
• Knowledge of current laws, government regulations, agency rules including SEC/Exchange rules/regulations, Industry practice and Stifel policies, procedures and their application.

• Minimum Required: B.S. or B.A. in Financial field or equivalent education and experience combination
• Minimum Required: 3-5 years' Branch Operations or Branch Manager experience

• Minimum Required: Series 7, 9, 10, 63 and Insurance License

• Proficient in Word, PowerPoint, Outlook and Excel.

Stifel is 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.