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 StifelStifel 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.
Skills Required
- High school diploma
- 1 to 3 years of financial services or branch operations experience
- Ability to obtain Series 7, 63 or 66 and insurance licenses within six months of hire
- General knowledge and experience in the financial industry
- Ability to identify errors or potential problems
- Ability to analyze information and identify relationships and trends
- Proficiency in Microsoft Excel, Word, PowerPoint, and Outlook
Stifel Financial Corp. Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Stifel Financial Corp. and has not been reviewed or approved by Stifel Financial Corp..
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Strong & Reliable Incentives — Compensation is positioned as highly attractive for financial advisors, with emphasis on meaningful earning upside tied to production. Recognition for advisor satisfaction indicates that incentive mechanics can be a differentiator in producer roles.
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Flexible Benefits — The benefits program is broad and multi-option, spanning multiple health plan choices, FSAs/HSAs, and a wide set of voluntary insurance add-ons. This menu-style design supports tailoring coverage to different life stages and needs.
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Parental & Family Support — Family-oriented benefits are extensive, including parental leave, adoption assistance, fertility and family-building support, and back-up childcare and elder care. These offerings signal a comparatively strong support system for caregiving and family planning.
Stifel Financial Corp. Insights
What We Do
Established in 1890, Stifel, Nicolaus & Company, Incorporated is one of the nation’s premier full-service financial services firms, providing brokerage, trading, investment banking, investment advisory, and related services to individual investors, professional money managers, businesses, and municipalities through more than 400 locations across the U.S. Stifel ranks as the 7th largest brokerage firm in the country as measured by number of financial advisors, with approximately 2,300, and features a highly regarded equity research department that has earned numerous accolades from such publications as The Wall Street Journal, Forbes, and the Financial Times. In 2023 and 2024, Stifel was recognized as the No. 1 wealth management firm for employee advisor satisfaction, based on the J.D. Power U.S. Financial Advisor Satisfaction Study*. Stifel is the principal subsidiary of Stifel Financial Corp. (NYSE: SF), a financial services holding company headquartered in St. Louis, Missouri. Stifel Financial Corp.'s other subsidiaries include Stifel Independent Advisors, LLC, an independent contractor broker-dealer firm; Stifel Nicolaus Europe Limited, the Company’s European subsidiary; Stifel Nicolaus Canada, Inc., our Canadian subsidiary; Stifel Bank and Trust and Stifel Bank, retail and commercial banks; and Stifel Trust Company, N.A. and Stifel Trust Company Delaware, N.A, our trust companies. *Stifel received the highest score among employee advisors in the J.D. Power 2023-2024 U.S. Financial Advisor Satisfaction Studies, which measures employee advisors’ satisfaction among those who are employed by an investment services firm. Visit jdpower.com/awards for more details.
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