What are the responsibilities and job description for the Ops & Supervisory Liaison position at Stephens Default?
ESSENTIAL DUTIES AND RESPONSIBILITIES
- Review and approve new account and related documents, other client related documents and asset movements to ensure they are in compliance with our policies and procedures.
- Review electronic correspondence via various software systems.
- Provide information and resolve issues that might occur when working with the Operations and/or the Compliance Departments.
- Monitor the adherence of internal policies and procedures related to the Private Client Group and Compliance.
- Maintain current working knowledge of the industry changes and regulations, related to Private Client Group, Stephens Inc. employees, and/or clients.
- Perform other duties as required by management.
EDUCATION AND/OR EXPERIENCE
- Bachelor's degree in a related field.
- 5 years of related experience and/or training preferably in a similar position.
- Equivalent combination of education and experience.
KNOWLEDGE, SKILLS, AND ABILITIES
- Excellent verbal, written and organizational skills and strong attention to detail.
- Attention to detail with emphasis on accuracy and quality.
- Self-motivated with the ability to work independently in a fast-paced environment.
- Ability to prioritize and handle multiple tasks simultaneously.
- Analytical, critical thinking and problem solving skills with the ability to determine the appropriate action.
- Process management skills.
- Establish and maintain effective working relationships at all levels of the organization.
- Proficient in Microsoft Office Suite or similar software, with the ability to learn and utilize industry specific software as required.
- Ability to maintain confidentiality.
- Due to the duties of the position, this position must be performed in person, in the office environment, except for occasional circumstances.
- In-depth understanding of the securities industry.
- Knowledge of relevant regulations related to securities.
- Strong quantitative research, critical thinking, and analytical skills.
CERTIFICATIONS, LICENSES, AND REGISTRATIONS
- SIE – Securities Industry Essentials.
- Series 7 – General Securities Representative.
- Series 63 - State Law Exam or Series 66 – Combined State Law.
- Series 66 – Combined State Law may be substituted for the Series 63 and Series 65.
- Series 9/10 – General Securities Sales Supervisor (preferred).
