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The Operations Associate-Mutual Funds 529 Plans is responsible for aiding in driving departmental results for the Operations department. This position requires the ability to gain a sound understanding of department subject matter including monitoring the internal account opening system and documents received to ensure proper and accurate opening of 529 college savings plans with minimal supervision. This role will require collaboration among team members to execute on departmental objectives under direct supervision while following established procedures.
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The Operations Assistant Manager-Advisory Services will provide oversight and day-to-day management of associates who are responsible for the completion of all requests related to the establishment and maintenance of Advisory Accounts at Stifel. The Assistant Manager is responsible for aiding the manager with evaluating workloads, staff scheduling, and associate development for their team. The Assistant Manager is responsible for aiding the manager in providing leadership and guidance to the members of the Advisory Account Services team.
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The Operations Associate-Document Control is responsible for assisting branches in reviewing various documents of all account types across the firm. This position requires the ability to understand processes and procedures regarding these account structures and document requirements with a high level of detail. This position will also require collaboration among team members, branch office personnel, and other areas at the firm to provide high-level customer service.
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The Operations Capital Markets Specialist II ensures correct trade processing for all large Institutional clients. This position will research and resolve incoming inquiries from Institutional clients, Capital Market Traders, and Sales associates.
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The Regulatory Operations Associate supports the firm’s regulatory operations function by performing daily regulatory reporting, monitoring, exception review, and documentation tasks to ensure compliance with SEC, FINRA, and other regulatory agency requirements. This role requires developing a foundational understanding of regulatory reporting processes, operational controls, and industry regulations. The Associate works under direct supervision and collaborates with team members to execute department objectives while following established procedures and maintaining a high level of accuracy, timeliness, and attention to detail.
