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

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 upscale 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 escalate 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.