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Product Programs Oversight Assoc II

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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 Product & Programs Oversight Associate II assists in defining and enhancing strategic initiatives, procedure development, business risk assessments, and overall design of the governance and control environment for the products and programs within the Investment Products & Services (IP&S) department. The Associate II will be expected to understand each group's products and services, processes, policies, and tools/systems. The primary focus of this role is to assist in timely and effective IP&S oversight and adherence to the rules and/or parameters through the review and analysis of product/program Standard Operating Procedures, Stifel Policies and Procedures, reviews of business processes, and sampling of business files.

What We're Looking For

• Participates in developing the oversight and control framework for IP&S's various products and programs.• Assists PCO colleagues in procedure design and implementation, assessments, and periodic reviews.• Collaborates with PCO colleagues to periodically review and update policies and procedures with product and program owners.• Assists PCO colleagues in overseeing and assessing individual product risk for PCO reviews.• Assists in enhancing the team's ability to identify, measure, report, and mitigate risks.• Provides input on the Oversight Tool's development, implementation, and ongoing management.• Maintains the team's shared drive, templates, and review repository.• Maintains and tracks the team's relative operating procedures and policies for all Oversight activities conducted within Product Oversight.• Assist with limiting the firm's regulatory and reputational risk and reinforcing the firm's culture of compliance.• Handles special projects and other duties as assigned.

What You'll Bring

• A general understanding of wealth management products and services, including, but not limited to, investment securities, advisory programs, investment strategy and theory, asset allocation, and regulations.• Understanding the firm policies and regulatory requirements to support the team's activities.• Demonstrates strong written and verbal communication skills with strong attention to detail; able to communicate effectively with all levels of personnel to ensure compliance with policies, regulations, and Program Parameters.• Understand the business's risk profile and participate in developing appropriate actions and responses to changes in profile relative to the firm's tolerance.

Education & Experience

• Minimum Required: High School Diploma or equivalent related field.• A Bachelor's degree in business or a related field is preferred.• Minimum Required: 2+ years of professional experience or an internship in compliance, risk, operations, audit, and/or control functions.

Systems & Technology

• Proficient in Microsoft Office Suite, including Outlook, Word, Excel, and PowerPoint.

Compensation Range

Salary: USD $60,000.00/Yr. - USD $81,000.00/Yr. Actual salaries may vary, and may be based on several factors, including but not limited to each candidate’s qualifications, skills, and overall competencies for the position. The base salary is one component of Stifel’s overall compensation package for each individual employee. Other benefits and offerings include, but not limited to, discretionary bonuses, health / dental / vision / prescription insurance offerings, Stifel Total Health Connect, flexible spending accounts, tuition & certification assistance programs, paid time off, and much, much more! To view a more comprehensive list of Stifel’s current offerings, please visit https://www.stifel.com/careers/benefits. Applications are accepted until the position is filled.

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.

Average salary estimate

$70500 / YEARLY (est.)

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max

$60000K

$81000K

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What You Should Know About Product Programs Oversight Assoc II, Stifel

Join Stifel as a Product Programs Oversight Associate II in New York, where innovation and dedication come together to create success for our clients and team members alike. In this exciting role, you will be pivotal in shaping strategic initiatives, enhancing procedures, and performing business risk assessments for the Investment Products & Services (IP&S) department. Your day-to-day activities will involve reviewing product and program Standard Operating Procedures while ensuring strict adherence to Stifel’s policies. Plus, you’ll be collaborating with colleagues to enhance oversight frameworks and regularly updating key documentation. We’re looking for someone who has a solid foundation in wealth management products and services, as well as the ability to communicate effectively across all levels of our organization. If you’re driven, detail-oriented, and ready to tackle special projects while minimizing regulatory risk, this is the perfect opportunity for you! At Stifel, not only do we prioritize client satisfaction, but we also foster a culture where every associate contributes to the success of our firm. With a competitive salary range and a robust benefits package that includes health care, tuition assistance, and much more, it’s time to explore how you can flourish in your career here. Let’s discuss your future at Stifel, where your skills will find a home and your success will thrive!

Frequently Asked Questions (FAQs) for Product Programs Oversight Assoc II Role at Stifel

What are the main responsibilities of a Product Programs Oversight Associate II at Stifel?

As a Product Programs Oversight Associate II at Stifel, your key responsibilities include defining and enhancing strategic initiatives, performing business risk assessments, and supporting the governance framework within the Investment Products & Services department. You will review and analyze product Standard Operating Procedures and assist in ensuring compliance with Stifel’s policies through effective oversight.