Compliance Analyst I – Advisory Services

Stifel Financial Corp.; St. Louis (MO); On-site; USD 70,000 - 95,000; Full time

Job summary

Stifel Financial Corp. is seeking a Compliance Analyst I-Advisory Services to support regulatory filings, form ADV 2B updates, and compliance workflows. You will assist in data collection, document procedures, and coordinate with multiple internal teams to ensure policy adherence.

The role requires 3+ years in brokerage/advisory environments, solid regulatory knowledge, and strong communication skills. Some travel is expected up to 10%.

Qualifications

• Bachelor's degree or equivalent combination of education and experience.
• 3+ years brokerage and/or investment advisory experience.
• Thorough knowledge of SEC/FINRA/NYSE rules and regulations.
• Strong communication and analytical abilities.
• Ability to document procedures and follow testing processes.

Responsibilities

• Create and maintain Form ADV 2Bs for FA Supplements.
• Assist with collecting and maintaining data for filings.
• Maintain unit procedures and calendar with SOP documentation.
• Support regression testing and data quality control for compliance reports.
• Identify opportunities to improve workflows and enhancements.
• Coordinate with Program Management, Advisory Operations and Operations.
• Handle branch inquiries on advisory-related policies and regulations.
• Travel up to 10% for local/regional/national travel.

Education

Bachelor's degree

3+ years brokerage/investment advisory

Tools

Microsoft Excel

Word

PowerPoint

Outlook

Thompson/BETA

Firm supervisory tools

Job description

Stifel Financial Corp. is seeking a Compliance Analyst I-Advisory Services to support regulatory filings, form ADV 2B updates, and compliance workflows. You will assist in data collection, document procedures, and coordinate with multiple internal teams to ensure policy adherence.

The role requires 3+ years in brokerage/advisory environments, solid regulatory knowledge, and strong communication skills. Some travel is expected up to 10%.