Compliance Analyst I-Advisory Services

Stifel, Incorporated; St. Louis (MO); Sur place; USD 65 000 - 90 000; Plein temps

Avantages offerts par ce poste

Health cover

Dental

Vision

401k

Wellness programs

Life insurance

Paid time off

Résumé du poste

Stifel, Incorporated in the United States seeks a Compliance Analyst I-Advisory Services to support the Compliance Advisory Services unit, applying knowledge of firm policies, advisory products, and regulations to improve processes.

Under supervision, the analyst handles projects with minimal supervision, assists with Form ADV 2Bs, filings data, testing, and workflow improvements, and coordinates with Program Management, Advisory Operations, and Operations. Travel up to 10% as needed.

Qualifications

• Bachelor's degree or equivalent combination of education and experience.
• 3+ years brokerage and/or investment advisory experience.

Responsabilités

• Assist in creating and maintaining Form ADV 2Bs for FA Supplements, including new recruits and updates.
• Assist with collecting and maintaining information used in filings.
• Maintain unit procedures and calendar with current SOPs.
• Support regression testing and data quality control for compliance reports, controls, workflows, and system changes.
• Identify opportunities to clarify or improve existing workflows and escalate enhancements as needed.
• Collaborate with Program Management, Advisory Operations, and Operations for maintenance issues.
• Handle branch inquiries regarding advisory-related matters and policies.

Connaissances

SEC/FINRA knowledge

Regulatory compliance

Data quality control

Communication skills

Analytical mindset

Formation

Bachelor's degree

Outils

Excel

Word

PowerPoint

Thompson/BETA

Description du poste

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

Under general supervision, the Compliance Analyst I-Advisory Services is a key member of the Compliance Advisory Services unit and is expected to have a strong knowledge of the firm's policies and procedures, advisory services and products, and applicable regulations. The Analyst I exercises independent thought, handles projects with minimal supervision, and applies an analytical, process-oriented mindset to identify practical opportunities to improve established compliance processes.

What We're Looking For

• Responsible for assisting in creating and maintaining Form ADV 2Bs for the Stifel Financial Advisors (FA Supplements). which includes creating FA Supplements for new recruits, as well as on-going changes and updates to existing FA Supplements.
• Assist with collecting and maintaining certain information used in filings.
• Responsible for maintaining the unit procedures and calendar, ensuring standard operating procedures are clearly documented, practical, current, and consistently applied.
• Assist with regression testing and data quality control for compliance reports, controls, workflows, and system changes by following established test procedures, validating results, documenting exceptions, and escalating identified issues.
• Identify opportunities to clarify or improve existing workflows and escalated recommended enhancements as appropriate.
• Work with other internal departments as needed for ongoing maintenance issues, including, but not limited to, Program Management, Advisory Operations, as well as Operations generally.
• Handle branch inquiries regarding advisory-related matters, including assistance to branch personnel on policies, procedures and relevant regulatory rules.
• Some travel by car and/or air in conjunction with local, regional and/or national travel, up to 10%.

What You'll Bring

• Thorough knowledge of SEC/FINRA/NYSE rules and regulations as well industry procedures.
• Demonstrated skills in negotiating, conflict management, and decision making with the ability to deal with all levels of branch and firm associates.
• Ability to communicate complex compliance issues, policies, and procedures, in a credible and convincing manner.
• Ability to identify, correct, and/or elevate disciplinary issues.
• General knowledge of business and management principles involved in strategic planning, resource allocation, leadership, production methods, and coordination of people and resources.
• Ability to use logic and reasoning to assess the strengths and weaknesses of alternative solutions or approaches, consider the relative costs, benefits, and firm policy implications of potential actions, and select the most appropriate action based on Firm and Team risk. Demonstrate a process-oriented mindset and the ability to translate observations into clear, practical improvements.
• Experience supporting regression testing, data validation, reconciliation, or data quality control is preferred.

Education & Experience

• Minimum Required: Bachelor's degree or equivalent combination of education and experience.
• Minimum Required: 3+ years brokerage and/or investment advisory experience.

Licenses & Credentials

• Minimum Required: None.

Systems & Technology

• Proficient in Microsoft Excel, Word, PowerPoint, Outlook, Thompson/BETA, and the Firm's supervisory tools.

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.