Compliance Analyst II: Advisory Controls & Oversight

Stifel, Incorporated; St. Louis (MO); Vor Ort; USD 70.000 - 100.000; Vollzeit

Zusammenfassung

Stifel, Incorporated is seeking a Compliance Analyst II for Advisory Services in St. Louis to support and improve advisory compliance programs. You will help develop policies, procedures, and controls, and assist with regulatory filings and testing.

The role requires strong analytical skills and independent work habits. Responsibilities include creating oversight reports, performing data validation, and coordinating remediation with business and technology partners, aligning with SEC rules and

Qualifikationen

• Knowledge of SEC rules and regulations and industry standards.
• Understanding of firm policies/procedures, and advisory services/products regulations.
• Ability to work independently with minimal supervision and translate analysis into practical recommendations.
• Experience performing regression testing, data validation, reconciliation, and data quality control.

Aufgaben

• Assist with regulatory filings for the Compliance - Advisory Services unit.
• Develop enhanced oversight procedures and reports for advisory programs.
• Perform regression testing and data quality control for compliance reports, controls, workflows, and system enhancements; coordinate remediation.
• Help oversee SOP development and maintenance; evaluate workflows and design scalable solutions.
• Collaborate with other internal departments (Program Management, Operations, Trading) on ongoing issues.

Kenntnisse

SEC rules & regulations knowledge

Policy & procedures knowledge

Independent thinking & problem solving

Regression testing & data validation

Ausbildung

Bachelor’s degree or equivalent

Tools

Microsoft Excel

Microsoft Word

Microsoft PowerPoint

Microsoft Outlook

Jobbeschreibung

Stifel, Incorporated is seeking a Compliance Analyst II for Advisory Services in St. Louis to support and improve advisory compliance programs. You will help develop policies, procedures, and controls, and assist with regulatory filings and testing.

The role requires strong analytical skills and independent work habits. Responsibilities include creating oversight reports, performing data validation, and coordinating remediation with business and technology partners, aligning with SEC rules and