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Ops & Supervisory Liaison

Ops & Supervisory Liaison

StephensLittle Rock, AR, US
30+ days ago
Job type
  • Full-time
Job description

Ops & Supervisory Liaison

Job Category : Private Wealth Management

Full-Time

On-site

Little Rock, AR 72201, USA

Description

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).

    • Equal Opportunity Employer This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights notice from the Department of Labor.

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    Ops Supervisory Liaison • Little Rock, AR, US