Central Supervision Associate

Stifel Financial Corp.; St. Louis (MO); On-site; USD 55,000 - 75,000; Full time

Benefits offered by this job

Health benefits

Dental & vision products

401k plan

Wellness program

Life insurance

Paid time off

Job summary

Stifel Financial Corp. is seeking a Central Supervision Associate to support offices and review emails for accuracy and compliance within the Private Client Group. The role emphasizes ensuring regulatory adherence and efficient document handling across branches.

The position requires a basic understanding of the financial industry, attention to detail, and the ability to escalate issues as needed. Collaboration with the Central Supervision team will be ongoing to improve oversight and processes.

Qualifications

• High school diploma required.
• 1–3 years of financial service or branch operations experience.
• Ability to obtain Series 7, 63 or 66 and Insurance within 6 months of hire.

Responsibilities

• Review electronic communication for compliance with Firm and Industry regulations.
• Recognize/analyze/escalate trends and offenders for oversight and action.
• Effectively communicate Compliance policy with branch teams.
• Assist with editing, sending, reviewing and uploading client documents.
• Support Central Supervision Supervisor/Manager on various projects.

Skills

Compliance awareness

Analytical thinking

Detail-oriented

Communication

Education

High School diploma

Tools

Microsoft Excel

Microsoft Word

PowerPoint

Outlook

Job description

What You'll Be Doing

The Central Supervision Associate is responsible for office support and reviewing email for assigned Branches of the Private Client Group for accuracy and compliance.

What We're Looking For

• 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.

What You'll Bring

• 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

• Minimum Required: High School diploma
• Minimum Required: 1 to 3 years' financial service or branch operations experience

Licenses & Credentials

• Minimum Required: Ability to obtain Series 7, 63 or 66 and Insurance within 6 months of date of hire

Systems & Technology

• Proficient in Microsoft Excel, Word, PowerPoint, Outlook.

About Stifel

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.