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Central Supervision Associate

Company: Stifel Financial Corp.
Location: Hialeah
Posted on: September 19, 2022

Job Description:

The Central Supervision Associate is responsible for office support and reviewing email for assigned Branches of the Private Client Group for accuracy and compliance.
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.
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).
High School diploma or equivalent experience required. Bachelor's degree preferred.

1+ years' financial service or branch operations experience required.

Keywords: Stifel Financial Corp., Hialeah , Central Supervision Associate, Other , Hialeah, Florida

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