Description
Summary
The Advisor Directed Programs Senior Specialist works on all aspects of the team's respective advisory programs. The Senior Specialist collaborates with the Program Manager, Financial Advisors (FAs), Compliance, Advisory Operations, and other groups both inside and outside of Stifel. The primary goal of the program management team is to provide highly competent support to Stifel Financial Advisors through the efficient and effective management of Advisor Directed advisory programs. As a senior member of the team, the Senior Specialist is critical in fostering a respectful and joyful team culture.
Essential Duties and Responsibilities
• Day to day support of Financial Advisors and their staff
• Maintains a thorough understanding of Advisory Programs from an operational, compliance and analytical point of view and has the ability to apply this knowledge to recommend changes or enhancements to programs and processes.
• Collaborate with Program Manager on monitoring and analyzing Advisor Driven programs.
• Develops FA & Client communications related to Advisory Program changes and or disclosure items.
• Helps to oversee the development and maintenance of department standard operating procedures
• Responsible for handling escalated issues and serving as subject matter expert on cross-functional teams.
• Work closely with various teams within the organization to implement program enhancements/projects
• Assist Program Manager with project management across team initiatives
• Communicate and collaborate effectively with all stakeholders across the Firm to accomplish projects and initiatives.
• Interface with Advisory Operations and Advisory Compliance to resolve items regarding accounts, fees, trading, and other issues.
• Reviews all Advisory Program marketing and support materials to make sure they are accurate and made available in a timely manner.
• Coordinate with the Advisory Marketing team to ensure appropriate program information is shared with FAs and new recruits.
Qualifications
• Knowledge of investment securities, investment strategy and theory, asset allocation, investment statistics, and both brokerage and investment advisory industries.
• Ability to use logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to problems.
• Excellent customer service skills with a willingness to think critically and creatively in problem solving.
• Understanding of operational and regulatory considerations in developing advisory program solutions.
• Ability to act independently in meeting team objectives.
• Commitment to collaborative work and building consensus across disparate groups of stakeholders.
• Ability to organize, prioritize and manage multiple tasks/projects
• Ability to consider the relative costs and benefits of potential actions
Education and Experience
• Minimum Required: Bachelor's degree
• Minimum Required: 5 to 7 years financial services industry experience
• Leadership or team management experience a plus
Licenses and Credentials
• Minimum Required: Series 7, 63 and 65 (Series 66 in lieu of 63 and 65) within 12 months of hire.
• Expectation for the Specialist to also complete the Series 24 within 24 months of hire.
Systems and Technology
• Proficient in Microsoft Excel, Word, PowerPoint, Outlook
• Familiarity with one or more project management applications preferred.
• Experience with data analytics/presentation tools (e.g., Tableau) preferred.
About Stifel
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 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.
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