Product Programs Oversight Specialist

What You'll Be Doing

The Products & Programs Oversight Specialist 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 Specialist will be expected to understand each group's various 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, Firm policies, 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 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.
• Completes independent oversight and assessment of individual product risk as the initial reviewer for all PCO reviews performed.
• 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.
• Understands the risk profile of the business and participates in developing appropriate actions and responses to changes in profile relative to the firm's appetite.
• Establish strong working relationships with PCO Colleagues, Product Heads, Program Managers, Branch Supervisors, Operations, Legal, and Compliance to promote a culture of engagement and connectivity.
• Generally understands firm policies and regulatory requirements to support the team's activities.
• Assist in limiting the firm's regulatory and reputational risk and reinforce the firm's culture of compliance.
• Handles special projects and other duties as assigned.

What You'll Bring

• Knowledge of wealth management products and services, including but not limited to investment securities, advisory programs, investment strategy and theory, asset allocation, and regulations.
• Understands 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.
• Understands the risk profile of the business and participates in developing appropriate actions and responses to changes in profile relative to the firm's tolerance.

Education & Experience

• Minimum Required: Bachelor's degree in business or related field.
• Minimum Required: 0-2 years of experience in the financial industry; 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 $75,000.00/Yr. - USD $111,000.00/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.