Compliance Analyst II-Advisory Services

Stifel, Incorporated; St. Louis (MO); On-site; USD 70,000 - 100,000; Full time

Job summary

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

Qualifications

• 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.

Responsibilities

• 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.

Skills

SEC rules & regulations knowledge

Policy & procedures knowledge

Independent thinking & problem solving

Regression testing & data validation

Education

Bachelor’s degree or equivalent

Tools

Microsoft Excel

Microsoft Word

Microsoft PowerPoint

Microsoft Outlook

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

The Compliance Analyst II-Advisory Services assists with developing and analyzing advisory-related compliance issues, procedures, policies, and controls. The Analyst II applies an analytical, process-oriented mindset to recommend enhancements, improve established workflows, and support scalable and sustainable compliance processes.

What We're Looking For

• Assist with issues surrounding regulatory filings completed by the Compliance - Advisory Services unit, including responsibility for collecting and analyzing information, and liaising with other departments and affiliates as needed.
• Assist in developing enhanced oversight procedures and controls around the Firm's advisory programs, including developing oversight reports for the department.
• Perform and document regression testing and data quality control for compliance reports, controls, workflows, and system enhancements; develop test scenarios, validate source-to-output results, reconcile exceptions, and coordinate remediation with business and technology stakeholders.
• Help oversee the development and maintenance of department standard operating procedures, evaluate existing workflows and legacy processes, identify root causes and opportunities for improvement, and partner with stakeholders to design and implement clearer, more efficient, scalable, and sustainable solutions.
• Work with other internal departments as needed with on-going maintenance issues, including, but not limited to Program Management, Operations, Trading, etc.
• Handle branch inquiries regarding advisory-related policies and procedures. Provide assistance to branch personnel on policies, procedures and relevant regulatory rules.

What You'll Bring

• Strong knowledge and understanding of SEC rules and regulations as well industry procedures.
• Knowledge of the firm's policy and procedures, and specifically, the advisory services and products, as well as applicable regulations.
• Ability to exercise independent thought and handle projects with minimal supervision. Uses logic and reasoning to evaluate the strengths and weaknesses of alternative solutions, conclusions, or approaches and translates analysis into clear, practical process recommendations.
• Experience performing regression testing, data validation, reconciliation, and data quality control, including documenting test results and resolving exceptions.

Education & Experience

• Minimum Required: Bachelor’s degree or equivalent combination of education and experience.
• Minimum Required: 5+ years brokerage and/or investment advisory industry experience.

Licenses & Credentials

• Minimum Required: Series 65 or 66, or the ability to obtain within one year of hire.

Systems & Technology

• Proficient in Microsoft Excel, Word, PowerPoint, Outlook.

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.