Stifel Job - 42306231 | CareerArc
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Company: Stifel
Location: Madison, WI
Career Level: Entry Level
Industries: Banking, Insurance, Financial Services

Description

SUMMARY

Under general supervision, performs multiple support staff duties required for a satellite/small branch and acts as liaison to home office personnel. Series 7 and 66 preferred, not required. Candidates will be expected to demonstrate an ability to obtain their full registration (FINRA Securities Industry Essential [SIE], Series 7 and Series 66) within their first 18 months of employment.

ESSENTIAL DUTIES AND RESPONSIBILITIES

  • Acts as liaison between branch/satellite and home office personnel (i.e. questions, paperwork, etc.).
  • Trains additional support staff on daily work assignments. Performs operational or administrative functions for client related requests.
  • Accurately processes order tickets (or calls in/faxes orders to main branch) and follows up where necessary.
  • Act as a resource to all other staff in the branch office for all operational procedures
  • Provide support for the daily operation of the Financial Advisors' businesses not limited to opening client accounts, preparing and processing investment documentation, facilitating outgoing check requests and other disbursements, and maintaining current client information.
  • Maintain account and trade records/files for the branch as required by Firm policy and industry regulation

QUALIFICATIONS

• Knowledge of the financial markets, the industry, the analysis and reporting of financial data, and associated terminology.
• General understanding of the securities regulations.
• Strong focus on providing exemplary client service. Excellent grammar and possess phone/office etiquette.

EDUCATION AND/OR EXPERIENCE

• Minimum Required: High School diploma or equivalent, College Degree preferred

• Minimum Required: 2+years of Financial/Securities industry experience preferred

LICENSES AND CREDENTIALS

  • Series 7 and 66 preferred, not required. 
  • Candidates will be expected to demonstrate an ability to obtain their full registration (FINRA Securities Industry Essential [SIE], Series 7 and Series 66) within their first 18 months of employment.

SYSTEMS AND TECHNOLOGY

• Proficient in Microsoft Excel, Word, PowerPoint, Outlook


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