Stifel Financial Corp. · 3 months ago
Trade Review Supervisor- Annuity
US-MO-Saint Louis
Full-time
Onsite
Senior Level
5+ years expStifel Financial Corp. is a global wealth management and investment banking firm committed to innovation and client success. The Trade Review Supervisor ensures compliance with policies and procedures by reviewing annuity transactions and providing training and mentorship to analysts.
BankingFinanceFinancial Services
Responsibilities
Review and approve insurance transactions by comparing the clients' existing portfolio and financial objectives with the knowledge of how the specific product(s) work(s)
Review and approve trade documentation for completeness and accuracy, comparing elements to product specifications
Serve as an authorized individual, in addition to or in the absence of the Trade Review Manager, to review, address and/or resolve special situations, issues or trades
Train and mentor new Trade Review Analysts and Sr Analysts on trade review functions, Stifel's Policies and Procedures, and industry regulations. Serves as a coach by providing guidance and assistance
Collaborate with the Insurance Compliance Officer on trade review processes, product details, and specific transactions
Collaborate with the Licensing/Registration and Insurance Operations Departments on a daily basis
Coordinate objections for delayed or cancelled transactions and adequately explains such situations to department manager or senior management
Provide subject matter expertise to FAs and Sales Assistants related to paperwork requirements, submission process and uploading of requests to the Insurance Database
Ensure completeness and consistency in the validation of the data on transactions
Qualification
Required
Bachelor's degree in Finance or related field
5+ years' of experience working in financial industry
Series 7, 9, 10, 63, 24, 9 & 10, and Resident State Insurance License (Life and Health)
Proficient in Microsoft Excel, Word, PowerPoint, Outlook
Expert knowledge of Fixed, Fixed Indexed, Buffered, Immediate and Variable annuities and the ability to stay current with product changes
Expert knowledge of all brokerage products, specifically life insurance, mutual funds, UITs, ETFs, and the managed funds program
Expert knowledge of multi-branch brokerage retail system
Solid knowledge of laws, tax codes, precedents, government regulations, and agency rules; familiarity with compliance issues surrounding insurance products
Understand the tax ramifications of insurance products and current tax codes that apply to these transactions
Expert knowledge of FINRA regulations, sales practices, and issues on Investment Company act products
Expert knowledge of state insurance regulations and the ability to keep current with states specific rule changes
Understands retirement plan rules and the tax ramifications associated with them
Travel by car and/or air in conjunction with local, regional and/or national travel is required
Benefits
Health
Dental and vision care
401k
Wellness initiatives
Life insurance
Paid time off
Company
Stifel Financial Corp.
Established in 1890, Stifel, Nicolaus & Company, Incorporated is one of the nation’s premier full-service financial services firms, providing brokerage, trading, investment banking, investment advisory, and related services to individual investors, professional money managers, businesses, and municipalities through more than 400 locations across the U.S.
5001-10000 employees
H1B Sponsorship
Stifel Financial Corp. has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (16)
2024 (4)
2023 (5)
2022 (5)
2021 (6)
2020 (5)
Funding
Current Stage
Public CompanyTotal Funding
unknown1993-01-08IPO
Leadership Team
Ronald Kruszewski
Chairman and CEO
Anne Perlman
Managing Director, Investment Banking - Stifel
Recent News
2025-11-11
2025-11-11
2025-11-11
Company data provided by crunchbase