Operations Manager-New Accounts

Why Stifel

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.

Let’s talk about how you can find your place here at Stifel, where success meets success.

What You'll Be Doing

The Operations Manager leads the team and is accountable for the accuracy, integrity, and timely completion of department processes. The Manager provides day-to-day management of workloads, associate development by administrating department objectives and measures, and associate development and performance management. This position requires experience in handling challenging subject matter and ensuring department completion of all necessary work on time and with the highest quality while complying with firm policies and regulatory requirements.

What We're Looking For

• Oversee departmental responsibilities, including logging Lost Security Holder accounts in internal systems, partnering with branch offices regarding Abandoned Accounts, and ensuring compliance with Escheatment processes.
• Provide leadership to the team through coaching, mentorship, training, and the development of employee goals and performance objectives.
• Maintain a strong understanding of account types, account structures, and regulatory requirements, including SEC Rule 17Ad-17 (Lost Security Holders) and state-specific Escheatment laws.
• Serve as a subject matter expert by assisting associates with complex inquiries, escalated issues, and advanced problem-solving and decision-making.
• Manage the day-to-day operations of the department to ensure procedures are followed, deadlines are met, and team members perform at expected levels.
• Plan, organize, and oversee team activities, including workload distribution, system utilization, and process reviews to drive operational efficiency.

What You'll Bring

• Expert knowledge of interpreting and applying financial industry rules and regulations.
• Proven leadership skills, strong teamwork capabilities, and the ability to lead projects through completion.
• Ability to ensure all departmental controls are met while effectively managing multiple priorities and business demands.
• Ability to make timely, informed decisions by evaluating facts, objectives, regulations, and associated risks.
• Excellent relationship-building, organizational, communication, and interpersonal skills, with the ability to communicate effectively across all levels of the firm.
• Ability to adapt to changes in functionality, technology, and regulatory requirements as needed.
• Strong team leadership skills with the ability to acquire, coach, develop, and retain talent.

Education & Experience

• Minimum Required: Bachelor's Degree or equivalent work experience.
• Minimum Required: 5+ years of experience within the financial services industry.

Licenses & Credentials

• Minimum Required: SIE, Series 7 or 99, or ability to obtain within one year.

Systems & Technology

• Proficient in Outlook, Word, Excel, and Access.
• Knowledge of SQL.
• Thomson One, BETA, eQuest, Salesforce, and Onbase experience preferred. #LI-AS1

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.