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