Product Programs Oversight Assoc II Job Listing at Stifel in New York, NY (Job ID 7489)

Description

The Product & Programs Oversight Associate II 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 Associate II will be expected to understand each group's 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, Stifel Policies and Procedures, reviews of business processes, and sampling of business files.

• Participates in developing the oversight and control framework for IP&S's various products and programs.
• Assists PCO colleagues 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.
• Assists PCO colleagues in overseeing and assessing individual product risk for PCO reviews.
• 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.
• Maintains the team's shared drive, templates, and review repository.
• Maintains and tracks the team's relative operating procedures and policies for all Oversight activities conducted within Product Oversight.
• Assist with limiting the firm's regulatory and reputational risk and reinforcing the firm's culture of compliance.
• Handles special projects and other duties as assigned.

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

• Minimum Required: High School Diploma or equivalent related field.
• A Bachelor's degree in business or a related field is preferred.
• Minimum Required: 2+ years of professional experience or an internship in compliance, risk, operations, audit, and/or control functions.

• Proficient in Microsoft Office Suite, including Outlook, Word, Excel, and PowerPoint.

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.