Compliance Assistant Manager-Advisory Services

Stifel, Incorporated; St. Louis (MO); Presencial; USD 110.000 - 160.000; Jornada completa

Descripción de la vacante

Stifel, Incorporated is seeking a Compliance Assistant Manager‑Advisory Services to oversee daily administration of the advisory compliance program, mentor staff, and manage cross‑functional initiatives. You will ensure adherence to SEC/FINRA rules and firm policies while guiding analysts through complex responsibilities.

The role requires 8+ years in compliance within financial services, a bachelor’s degree, and Series 65/66 or the ability to obtain it within a year.

Formación

• Bachelor’s degree or equivalent education and experience.
• 8+ years of compliance, brokerage, investment advisory, or related financial‑services experience.
• Series 65 or 66, or the ability to obtain within one year of hire.

Responsabilidades

• Lead and mentor analysts to meet performance standards.
• Oversee cross-training and process improvements.
• Support department manager on internal procedures, special projects, and other initiatives.
• Establish relationships with leaders in other units to influence information flow and feedback on policy changes.
• Exercise independent judgment in alerts/case decisions and investigations.
• Conduct quality reviews to ensure policy compliance by associates.
• Identify gaps in processes and spearhead small improvement projects.
• Assist in writing and auditing policies and provide training for new functions.
• Coordinate workflow prioritization with staffing and capacity.
• Monitor regulatory developments and changes.

Conocimientos

Compliance analysis

Risk management

Regulatory knowledge

Change management

Educación

Bachelor’s Degree or equivalent education and experience

Herramientas

Microsoft Excel

Microsoft Word

PowerPoint

Outlook

Descripción del empleo

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 Assistant Manager‑Advisory Services supports the daily administration and oversight of the Firm’s advisory compliance program to ensure requirements of the department are fulfilled, as required by Firm policies and regulatory rules. This position develops, trains, leads, and mentors department associates and their work.

What We’re Looking For

• Develop and lead analysts through coaching and supporting team culture and dynamics to meet high performance standards.
• Oversee cross training, identify opportunities for process improvement, and lead the implementation of related enhancements.
• Provide support to the department manager for internal procedures, special projects, and other department initiatives.
• Establish relationships with leaders in other business units throughout Compliance and the Firm to influence efficient information flow and feedback on the impacts of process, policy, and product changes.
• Exercise independent judgment and discretion when making decisions or recommendations in relation to each alert/case decision and investigation.
• Conduct quality and accuracy reviews on associates within the department to ensure the associate’s review is complying with specific policies and procedures.
• Identify potential gaps in processes and spearhead small projects to implement solutions.
• Assist in writing, maintaining, and auditing policies and procedures specific to department and provide training and guidance to analysts for new functions.
• Work closely with department manager to ensure the workflow is prioritized based on staffing and capacity.
• Assist in monitoring rule changes or regulatory developments.
• Perform and assist with special projects, as needed and other duties as assigned.

What You’ll Bring

• Industry knowledge on the theories and concepts of methodology, process development, change management, and implementation.
• Working knowledge of Compliance analysis and reporting.
• Ability to identify risk and implement appropriate control mechanisms.
• Strong knowledge of the Investment Advisers Act of 1940, applicable SEC and FINRA requirements, and advisory industry practices.
• Ability to provide input on guidelines for procedures and policies that comply with new and revised regulations and directs their implementation. Implements, explains, and enforces compliance and/or regulatory procedures and policies.

Education & Experience

• Minimum Required: Bachelor’s Degree or equivalent education and experience.
• Minimum Required: 8+ years of compliance, brokerage, investment advisory, or related financial‑services 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.