Asset Management Compliance Lead

Stifel, Incorporated; New York (NY); On-site; USD 120,000 - 174,000; Full time

Benefits offered by this job

Discretionary bonuses

Health/dental/vision insurance

401k retirement plan

Tuition & certification assistance

Paid time off

Job summary

Stifel, Incorporated is seeking a Compliance Manager-Asset Management in New York to oversee analysts, train staff, and ensure adherence to regulatory requirements. The role reports to the Chief Compliance Officer of Asset Management and supports a diverse range of investment strategies.

The ideal candidate has 10+ years in Compliance/Risk/Audit with leadership experience and a Bachelor’s degree in business or related field. Advanced certifications are preferred.

Qualifications

• Bachelor's degree in business or related field.
• 10+ years in Compliance, Risk or Audit with leadership experience.
• Preferred: IACCP, Series 65 or equivalent compliance certification.

Responsibilities

• Observe and manage daily activities of analysts to ensure requirements are fulfilled per firm policies or regulations.
• Train new staff and provide feedback; escalate to department Director as needed.
• Monitor regulatory developments relating to investment advisers.
• Develop procedures for new or revised regulations and implement them.
• Assist in developing firm policies and enforce compliance procedures.
• Assist with regulatory filings for the investment advisory business.
• Act as liaison between Compliance and business areas on advisory matters.

Skills

SEC rules knowledge

Advisory services knowledge

Independent thinking

Decision making

Change management

Problem solving

Education

Bachelor's degree in business or related field

Tools

Excel

Word

PowerPoint

Advent SS&C

Broker data feeds

Bloomberg

Job description

Stifel, Incorporated is seeking a Compliance Manager-Asset Management in New York to oversee analysts, train staff, and ensure adherence to regulatory requirements. The role reports to the Chief Compliance Officer of Asset Management and supports a diverse range of investment strategies.

The ideal candidate has 10+ years in Compliance/Risk/Audit with leadership experience and a Bachelor’s degree in business or related field. Advanced certifications are preferred.