Summary
The Stifel Independent Advisors Analyst assists the Supervision Team in their supervisory review functions. The Analyst assists in various facets of supervision tasks with a goal of providing the employee growth opportunities within the supervision team through successful passing required licenses.
Essential Duties and Responsibilities
- Review and approval of all client asset movements. This includes calling on foreign and large wires to confirmation of identity and asses validity of clients submission.
- Research and gather information useful in reviewing and responding to account inquiries and requests for action initiated by Compliance, Legal, or regulatory requests.
- Partner with branches and various stifel departments to review, approve and/or escalate money movement requests.
- Conduct verification calls to confirm client instructions and minimize risk to the firm/client.
- Support supervisors/managers with reviewing, monitoring, creating, and following up on reports.
- Assist in their review of accounts appearing on monthly scorecards. Prepare account questionnaires to be completed by the Financial Advisor as needed.
- Assist in the review of monthly detail statements. Contact the branch to verify information as needed.
- Follow up with branch staff on requests for information generated during ProSurv reviews.
- Research and provide information for the supervisor to conduct in-depth reviews of a particular client account or Financial Advisor's business/activity.
- Prepare and distribute any Client Contact letters, and any outgoing and incoming correspondence.
- Preparation, review and tracking of physical access data for Firm locations, accessing any issues that arise for escalation to supervisor.
Qualifications
- Minimum Required: Bachelor's Degree in financial field or equivalent education and experience combination.
- Minimum Required: 1-3 years' branch operations experience.
- Minimum Required: Series 7 required; Series 63/65 or 66 and insurance license within 12 months of hire.
- Proficient in Word, PowerPoint, Outlook and Excel.
- Knowledge of supervision tools.
- Knowledge of RegEd AdTrax or FIS ProSurv.
- 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.
- Ability to meet deadlines and provide status reporting on current projects and assignments.
- Ability to resolve difficult situations using proven problem solving skills, sound judgment and reasoning in order to provide alternative solutions.
- Ability to develop constructive and cooperative working relationships with others; comfortable dealing with associates and clients of all levels.
- Strong analytical skills focused on using logic and reasoning to identify complex relationships as well as to research and discuss recommended uses.
About Stifel
Established in 1890, Stifel is one of the nation's leading full-service wealth management and investment banking firms. Stifel serves clients from more than 400 offices across the United States and ranks as the nation's seventh largest full-service investment firm in terms of number of financial advisors. We are also a leading provider of investment banking services to the middle market, a top-ten municipal bond underwriter, and home to one of the industry's largest research franchises. In addition our Stifel Bank subsidiary provides a comprehensive range of banking services.
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.
The health and safety of our employees and candidates is very important to us. We continue to monitor the current public health situation and have adjusted our hiring procedures to include virtual recruiting tools that allow us to continue meeting new candidates. We look forward to meeting you.
Stifel is an Equal Opportunity Employer.
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