<p>Why Stifel</p> <p>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.</p> <p>Let's talk about how you can find your place here at Stifel, where success meets success.</p> <p>What You'll Be Doing</p> <p>The Operations Manager of Institutional and Broker Settlements is responsible for the day-to-day management of workloads, associate development, performance management, personnel issues and additions/reductions in staff. They are responsible for the supervision of the daily segregation analysis/deficit report, buy-ins, and settlement of domestic equity securities via DTC. The manager is also responsible for making sure the firm adheres to the close-out requirements of Regulation SHO, Rule 204 and all other FINRA and SEC rules related to settlements.</p> <p>What We're Looking For</p> <ul> <li>Resolves complex questions or problems of an escalated nature that the support staff cannot/should not resolve. </li><li>Plans and organizes the activities of staff including periodically reviewing work allocation for balance and efficient utilization of personnel. </li><li>Responsible for the development of employees' goals and performance objectives and works to help the employees achieve them. </li><li>Assists with the departmental budget, including controlling expenses. </li><li>Adheres to the established policies and practices of the firm and various regulatory agencies. </li><li>Supervise the settlement of US equities, physical securities, buy-ins, and deficit report. </li><li>Review and maintain department procedures. </li><li>Oversee department processes pertaining to SEC rule 15c3-3. </li><li>Participate in audits with internal and external auditors. </li></ul> <p>What You'll Bring</p> <ul> <li>Expert knowledge in interpreting and applying financial industry rules and regulations. </li><li>Positive leadership and teamwork skills with the ability to lead projects through to completion. </li><li>Ability to manage one's own time, organize and prioritize to effectively handle multiple demands to meet all assigned deadlines. </li></ul> <p>Education & Experience</p> <ul> <li>Minimum Required: Bachelor's degree or equivalent combination of education and experience. </li><li>Minimum Required: 8+ years' experience within the financial services industry. </li></ul> <p>Licenses & Credentials</p> <ul> <li>Minimum Required: Series 7, 63 or 66. </li></ul> <p>Systems & Technology</p> <ul> <li>Proficient in Microsoft Excel, Word, PowerPoint, Outlook. #LI-AS1 </li></ul> <p>About Stifel</p> <p>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.</p> <p>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.</p> <p>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.</p> <p>Stifel is an Equal Opportunity Employer.</p>