Trade Review Supervisor- Annuity

Job description

Why Stifel Stifel strives for a culture that puts its clients and associates first: a culture where everyone belongs, everyone is welcome, and everyone contributes to the success of our clients, their careers, and the firm as a whole. Let’s talk about how you can find your place here at Stifel, where success meets success . What You'll Be Doing: The Trade Review Supervisor ensures conformance to Stifel Policy and Procedures through activities such as, but not limited to, reviewing suitability and best interests of all Annuity transactions types, working closely with Financial Advisors and Branch Managers to correct trade details/descriptions for transactions that likely conform to firm policies and procedures, but do not appear that way based on initial trade details. Executing authority to cancel transactions until an order is deemed to comply. This individual assists in training Trade Review Analysts, Associates and Sr. Analysts, and serves as a liaison with the branches, Compliance, Marketing, Operations and Trade Review team. The Analyst assists the Manager, in all aspects of their job as well escalated decision making concerning individual transactions and supervision function...