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Central Supervision Associate

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

Job Description:

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.

Keywords: Stifel Financial Corp., Pawtucket , Central Supervision Associate, Other , Pawtucket, Rhode Island

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