<p>ESSENTIAL DUTIES AND RESPONSIBILITIES</p> <ul> <li>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. </li><li>Review electronic correspondence via various software systems. </li><li>Provide information and resolve issues that might occur when working with the Operations and/or the Compliance Departments. </li><li>Monitor the adherence of internal policies and procedures related to the Private Client Group and Compliance. </li><li>Maintain current working knowledge of the industry changes and regulations, related to Private Client Group, Stephens Inc. employees, and/or clients. </li><li>Perform other duties as required by management. </li></ul> <p>EDUCATION AND/OR EXPERIENCE</p> <ul> <li>Bachelor's degree in a related field. </li><li>5+ years of related experience and/or training preferably in a similar position. </li><li>Equivalent combination of education and experience. </li></ul> <p>KNOWLEDGE, SKILLS, AND ABILITIES</p> <ul> <li>Excellent verbal, written and organizational skills and strong attention to detail. </li><li>Attention to detail with emphasis on accuracy and quality. </li><li>Self-motivated with the ability to work independently in a fast-paced environment. </li><li>Ability to prioritize and handle multiple tasks simultaneously. </li><li>Analytical, critical thinking and problem solving skills with the ability to determine the appropriate action. </li><li>Process management skills. </li><li>Establish and maintain effective working relationships at all levels of the organization. </li><li>Proficient in Microsoft Office Suite or similar software, with the ability to learn and utilize industry specific software as required. </li><li>Ability to maintain confidentiality. </li><li>Due to the duties of the position, this position must be performed in person, in the office environment, except for occasional circumstances. </li><li>In-depth understanding of the securities industry. </li><li>Knowledge of relevant regulations related to securities. </li><li>Strong quantitative research, critical thinking, and analytical skills. </li></ul> <p>CERTIFICATIONS, LICENSES, AND REGISTRATIONS</p> <ul> <li>SIE - Securities Industry Essentials. </li><li>Series 7 - General Securities Representative. </li><li>Series 63 - State Law Exam or Series 66 - Combined State Law. </li><li>Series 66 - Combined State Law may be substituted for the Series 63 and Series 65. </li><li>Series 9/10 - General Securities Sales Supervisor (preferred). </li></ul>