Trade Review & Compliance Lead

Stifel Financial Corp.; Missouri; On-site; USD 70,000 - 90,000; Full time

Benefits offered by this job

Health insurance

401k

Paid time off

Job summary

A prominent financial services firm is seeking a Trade Review Supervisor in Missouri. This role involves ensuring compliance, training analysts, and supervising annuity transactions. The ideal candidate has a Bachelor's degree in Finance, over 5 years of experience, and expert knowledge in various financial products and regulations. Comprehensive benefits and an entrepreneurial environment are offered.

Qualifications

• 5+ years of experience working in the financial industry.
• Expert knowledge of state insurance regulations.

Responsibilities

• Ensure conformance to Stifel Policy through transaction review.
• Train and mentor new Trade Review Analysts.
• Collaborate with various departments for trade review processes.

Skills

Expert knowledge of Fixed Annuities

Expert knowledge of brokerage products

Solid knowledge of laws and regulations

Proficient in Microsoft Excel

Understanding of tax ramifications

Education

Bachelor's degree in Finance or related field

Tools

Microsoft Excel

Microsoft Word

Microsoft PowerPoint

Microsoft Outlook

Job description

A prominent financial services firm is seeking a Trade Review Supervisor in Missouri. This role involves ensuring compliance, training analysts, and supervising annuity transactions. The ideal candidate has a Bachelor's degree in Finance, over 5 years of experience, and expert knowledge in various financial products and regulations. Comprehensive benefits and an entrepreneurial environment are offered.