Central Supervision Analyst
Company: Stifel Financial Corp.
Location: Saint Louis
Posted on: March 19, 2023
Job Description:
SUMMARYThe Central Supervision Analyst provides first-level
supervisory review function for assigned Branch Managers and
Financial Advisors of the Central Supervision Department.ESSENTIAL
DUTIES & RESPONSIBILITIES
- Review, analyze, approve and/or escalate money movement
requests.
- Conduct verification calls to confirm client instructions,
ensure veracity of request, and minimize risk.
- Identify and escalate irregularities to Branch Score
Cards.
- Support Central Supervision Supervisors/Managers with
reviewing, monitoring, creating, and following up on reports.
- Prepare Account Questionnaires to be completed by the FA 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.
- Gather information useful in reviewing/responding to account
inquiries and requests for action initiated by Compliance.
- Gather information useful in reviewing any potential concerns
regarding specific account or FA activity.QUALIFICATIONS
- 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.
- Understanding of the core supervisory functions conducted by
Central Supervision.
- Ability to meet deadlines and provide status reporting on
current projects and assignments.
- Working knowledge of the supervisory tools utilized by Central
Supervision.EDUCATION & EXPERIENCE
- Bachelor's Degree in Finance required or equivalent education
and experience combination.
- 1 years of related experience required, 2+ years' of experience
in finance or related fieldLICENSES & CREDENTIALS
- Series 7 & Series 63 or 66 required.SYSTEMS & TECHNOLOGY
- Proficient in Word, PowerPoint, Outlook and Excel.
Keywords: Stifel Financial Corp., St. Louis , Central Supervision Analyst, Professions , Saint Louis, Missouri
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