Compliance Analyst II, Advisory Services — Process & Controls

Stifel Financial Corp.; St. Louis (MO); On-site; USD 90,000 - 120,000; Full time

Job summary

Stifel is seeking a Compliance Analyst II for Advisory Services to help develop and analyze compliance issues, procedures, and controls. You will apply a process-oriented mindset to improve workflows and support scalable compliance processes.

The role requires strong SEC regulatory knowledge, testing, and collaboration with multiple departments to ensure accurate regulatory reporting and adherence to policies.

Qualifications

• Bachelor’s degree or equivalent combination of education and experience.
• 5+ years brokerage and/or investment advisory industry experience.
• Experience performing regression testing, data validation, reconciliation, and data quality control.

Responsibilities

• Assist with issues surrounding regulatory filings completed by the Compliance - Advisory Services unit.
• Develop enhanced oversight procedures and controls around the Firm's advisory programs.
• Perform regression testing and data quality control for compliance reports and system enhancements; validate results and coordinate remediation.

Skills

SEC rules knowledge

policy & procedures

independent thinking

regression testing

Education

Bachelor’s degree

5+ years brokerage experience

Tools

Microsoft Excel

Microsoft Word

Microsoft PowerPoint

Microsoft Outlook

Job description

Stifel is seeking a Compliance Analyst II for Advisory Services to help develop and analyze compliance issues, procedures, and controls. You will apply a process-oriented mindset to improve workflows and support scalable compliance processes.

The role requires strong SEC regulatory knowledge, testing, and collaboration with multiple departments to ensure accurate regulatory reporting and adherence to policies.