What You'll Be Doing
The Stock Record Operations Manager leads the area and is accountable for the accuracy, integrity, and timely completion of the firm's security position records in accordance with SEC and FINRA requirements. The Manager provides day-to-day management of workloads, associate development, performance management, personnel matters, and staffing changes. The Manager serves as the escalation point for complex issues, ensures activities comply with firm policies and applicable regulatory requirements, and supports the departmental budget and expense control.
What We're Looking For
- Oversee the completion, reconciliation, and documentation of weekly, monthly, and quarterly security location counts, and ensure discrepancies are investigated, resolved, and recorded in accordance with SEC Rules.
- Direct the processing and timely delivery of shareholder communications and proxy materials in accordance with SEC Rules.
- Oversee the verification of deposit process to ensure requests are legitimate and free from fraud and ensuring branch teams are aware of the request.
- Ensure stock record books and records are maintained and retained in accordance with SEC Rules.
- Develop the team ensuring they have clear goals and objectives.
- Resolve complex questions or problems of an escalated nature that the team is unable to resolve.
- Plan and organize the activities of the team including periodically reviewing work allocation for balance and efficient utilization of personnel.
What You'll Bring
- Expert knowledge in interpreting and applying financial industry rules and regulations.
- Knowledge in leadership and teamwork skills with the ability to lead projects through to completion.
- Ability to make sound and timely decisions.
- Excellent verbal, written and interpersonal communication skills with the ability to clearly communicate across all levels of the firm.
- Strong organizational, time management and prioritization skills to effectively handle multiple demands while meeting deadlines.
- Ability to adapt to changes in functionality, technology, or regulatory policies when necessary.
- Excellent relationship building skills.
- Strong team leadership skills to acquire, coach, develop and retain talent.
Education & Experience
- Minimum Required: Bachelor's Degree or equivalent combination of experience and education.
- Minimum Required: 5+ years' experience within the financial services industry.
Licenses & Credentials
- Minimum Required: FINRA Series 99 or Series 7, or ability to obtain Series 99 within 12 months upon hire.
Systems & Technology
- Proficient in Microsoft Excel, Word, PowerPoint, Outlook #LI-AS1
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.
