In this role, you will:

• Participate and consult regarding policies and procedures, controls, tools and training
• Identify opportunities for additional synergies and to maximize efficiencies within the private client group
• Review and analyze controls to manage high risk investment strategies and complex products
• Evaluate resources to monitor risk and exercise independent judgment to guide process changes, process improvements, and technology enhancements
• Present recommendations for resolving complex analysis in search of current and best practices
• Gather and analyze data, identify trends and present analysis through meaningful statistics
• Develop expertise in firm, compliance and regulatory policies and procedures
• Collaborate and consult with Financial Advisors, Regional and more experienced
• Management, Private Client Group, Branch Managers, Operation Managers, Supervision Managers, and varying Business Units

Required Qualifications:

• 2+ years of Supervisory Control, Corporate Insurance Risk, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• US Only: Successfully completed FINRA Series 7 and 66 (or 63 and 65) exams to qualify for immediate registration (or FINRA recognized equivalents)

Desired Qualifications:

• Conflict management and decision-making skills
• Strong organizational, multi-tasking and prioritizing skills
• Ability to negotiate, influence, and collaborate to build successful relationships
• Excellent verbal, written, and interpersonal communication skills
• Strong attention to detail and accuracy skills
• FINRA registration including Series 9/10 (or FINRA recognized equivalents)

• 114 N. Beaumont St. Bldg D – St. Louis, Missouri
• 550 S. 4th St. – Minneapolis, Minnesota
• 401 S. Tryon St. – Charlotte, North Carolina