Stifel Independent Advisors Regional Supervisor

Summary

The Stifel Independent Advisors Regional Supervisor performs supervisory review functions for assigned branches, including Financial Advisors (FAs) and their staff.

Essential Duties & Responsibilities

• Manage daily trades, alerts, and AML alerts posted to ProSurv.
• Post notes, when applicable, to document any action taken.
• Review cancel/rebills, trade errors, switch letters, new account approvals, 529 plans, insurance, and acknowledgment letters.
• Set up new accounts, account updates, LOAs, option agreements, and managed accounts on request.
• Attend seminars, advertisements, speaking engagements, and radio programs.
• Review outside business activities, outside accounts, gifts, private security transactions, and solicited bulletin board stock files and system-captured e-mail.
• Review participation of FAs in discretionary account programs and those serving in a fiduciary capacity.
• Contact clients verbally and in writing to discuss account activity and escalate customer complaints to management and legal.
• Review and approve monthly Employee Detail Statements and Scorecards, retain notes, and, when applicable, document any action taken.
• Review and approve incoming and outgoing correspondence, Annual Advisory Reviews, and associated logs.
• Oversee large account deposits and employee deposits and approvals, review all vendor payment reimbursements, and track Key Log files for all regional offices.
• Review and remediation of compliance surveillance reports.

Qualifications

• Knowledge of current laws, government regulations, agency rules including SEC/Exchange rules/regulations, Industry practice, and Stifel policies, procedures, and their application.
• Knowledge of principles and processes for providing customer and personal services, including customer needs assessment, meeting quality standards for services, and evaluation of customer satisfaction.
• Ability to travel to visit SIA offices within assigned region.
• Excellent conceptualization, presentation, and communication skills to effectively execute change.
• Strong knowledge of the financial markets and reporting of financial data.
• Strong knowledge of all Stifel Independent Advisors client and branch services applications, systems, and procedures.
• Demonstrate integrity to perform job functions within the boundaries of the regulatory environment.

Education & Experience

• Minimum Required: Bachelor's Degree in Financial field or equivalent combination of education and experience.
• Minimum Required: 3+ years of branch supervision experience.

Licenses & Credentials

• Minimum Required: FINRA Series 7, 9, 10, 63 and 65 or 66 and Insurance License.

Systems & Technology

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

Stifel is a 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 – and 26 years of continual growth – 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.