Leverage professional network, community engagement opportunities, and referrals to find new businesses and cultivate existing business.
Review and approve supervisory reports and documentation for the Financial Advisors; liaise with the Firm's Home Office on escalated business reviews, trade matters, email surveillance, investment transaction approvals/rejections, and generate reports as requested.
Perform the duties of a Financial Advisor by engaging with clients and prospects to identify their financial profile, provide clients with investment services that will align with their objectives and tolerance, and help them achieve their financial goals.
Branch administration including budget and expenses, time card review, facilities management, and response to escalated customer, compliance, and legal matters.
Stay current with industry trends and changes as well as all industry rules and regulations, policies and procedures, and Firm training and continuing education.
Identify matters that require escalation, including suspicious activity, customer complaints, trading errors, and violation of industry regulation or Firm policy.
What You'll Bring
Proven success in establishing rapport with clients, and building and maintaining mutually beneficial, long-term relationships.
Strong knowledge of management principles involved in workforce planning, leadership, and allocation of people and resources.
Highly skilled in supervising investment businesses and ensuring the client's best interests.
Ability to effectively communicate information verbally and in writing, especially information that is not easily understood.
In-depth understanding of the Financial Services industry, domestic and international markets, and applicable regulatory environment.
Thorough understanding of investment portfolios, products, and services and how to utilize them with individual clients.
Integrity to perform job functions ethically within the boundaries of the regulatory environment.
Education & Experience
Minimum Required: High School degree or equivalent.
Minimum Required: 5+ years' of Financial Services/Brokerage experience.
Licenses & Credentials
Minimum Required: FINRA Series 7 and Series 63 and 65 or Series 66; Series 8 or 9 and 10.
Other licenses may be required based on branch businesses.
Systems & Technology
Proficient in Microsoft Excel, Word, PowerPoint, and Outlook. #LI-AS1
About Stifel
Stifel 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.
