Customer Complaint Coordinator

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.

Primarily responsible for receiving, tracking, reviewing, and responding to sales practice and operational customer complaints received by the firm, as well as FINRA regulatory reporting related to customer complaints. Works closely with members of the legal department and internal business counterparts, including compliance and branch personnel. Prepares written responses to customers and to regulatory requests, and maintains a filing and tracking system for customer complaints.

• Obtain and examine all relevant information and account documentation to assess customer complaints and determine and draft appropriate responses.
• Confer with customers and regulatory agencies by telephone and in writing regarding customer complaints.
• Maintain records of customer complaints as well as actions taken in response to complaints.
• Perform quarterly reporting of written customer complaints for statistical purposes as required by FINRA Rule 4530.
• Follow up on actions taken to resolve customers' complaints.
• Draft written responses to customer complaints and communicate by phone and email with customers who lodge complaints.
• Prepare timely responses to regulatory inquiries regarding customer complaints.

• Knowledge of administrative and clerical procedures and systems such as word processing, spread-sheet applications, managing files and records, and other office procedures and terminology.
• General understanding of the investment brokerage industry and securities regulations with basic knowledge of investment products.
• Able to organize, prioritize and manage multiple tasks, responsibilities and deadlines; is able to follow through and accomplish goals, manage expectations appropriately and use firm's resources efficiently.
• Using logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to practical problem solving.
• Knowledge of principles and processes for providing exemplary customer and personal services. This includes customer needs assessment, meeting quality standards for services, and evaluation of customer satisfaction.
• The ability to communicate information and ideas in spoken or written form so that others will understand with excellent grammar and phone/office etiquette.

• Minimum Required: Bachelor's degree or equivalent work experience
• Minimum Required: 5+ years of experience in the field or a related area. Experience in business/legal writing and drafting business communications.
• Experience in the Financial Industry strongly preferred.
• Experience working in a corporate legal department as a paralegal a plus.

• Minimum Required: None

• Proficient in Microsoft Excel, Word and Outlook

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.