Central Supervision Associate
Company: Stifel Financial Corp.
Posted on: September 20, 2022
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
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
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
EDUCATION & EXPERIENCE
High School diploma or equivalent experience required. Bachelor's
1+ years' financial service or branch operations experience
Keywords: Stifel Financial Corp., Pawtucket , Central Supervision Associate, Other , Pawtucket, Rhode Island
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