Ops & Supervisory Liaison

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).