Compliance Licensing & Reg Intern- Summer 2027

Stifel, Incorporated; St. Louis (MO); On-site; USD 21,000 - 30,000; Full time

Job summary

Stifel, Incorporated, based in St. Louis, seeks a Licensing & Registration Compliance Intern to support securities-related registrations for licensed individuals under minimal supervision. The role includes processing Form U4s, keeping records up to date, and monitoring for registration violations.

You will work with the Compliance team on administrative tasks, contribute to special projects, and ensure accuracy in documentation, while maintaining on-site availability during standard hours.

Qualifications

• Pursuing an undergraduate degree, preferably in a related field, with at least one year of college completed.
• Demonstrated track record of achievement in academics and participation in extracurricular activities.

Responsibilities

• Process Form U4s, making prompt amendments as applicable to the position.
• Maintain accurate information in BETA (REGR) and NRF systems.
• Ensure compliance with applicable industry rules and regulations.
• Perform admin duties such as scan filing, creating spreadsheets and reports, and assisting with special projects.
• Work independently or support other assigned projects and confidential issues.

Skills

Communication

Professionalism

Initiative

Time management

Analytical thinking

Education

Pursuing undergraduate degree

Tools

Excel

Word

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

Under minimal supervision, the Licensing & Registration Compliance Intern prepares and processes all securities related registration for its licensed individuals. This includes requests from all broker/dealer subs and affiliates, jurisdiction applications and terminations, and monitoring for registration violations.

What We're Looking For

• Required to be available on-site during standard working hours 7:30a.m. - 4:30p.m. CST.
• Process Form U4s, making prompt amendments as applicable to the position. Maintain accurate information in BETA (REGR). Maintaining accurate information on NRF associates, Representatives, and Investment Advisors.
• Work to insure compliance of applicable industry rules and regulations.
• Perform applicable administrative duties such as scan filing, preparing various spread sheets and reports, performing or assisting with special projects, responding to phone calls, etc.
• Responsible for dedicated projects assigned by supervisor/manager and other duties as needed. Works independently or provides assistance on various other assigned projects and confidential issues that are generally complex, difficult or broad in scope.

What You'll Bring

• Ability to communicate information and ideas in spoken or written form so that others will understand.
• Demonstrates professionalism, integrity, maturity, intellectual curiosity, initiative and good judgment; takes pride of ownership for wins and accountability for losses/mistakes.
• Works closely with the Compliance team, producing accurate work in a timely fashion. Managing one's own time and priorities to ensure the meeting of deadlines.
• Uses logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to problems. Understanding the implications of new information for both current and future problem-solving and decision-making.
• Possesses strong communication, analytical, and interpersonal skills.

Education & Experience

• Minimum Required: Pursing an undergraduate degree, preferably in a related field, with at least one year of college completed.
• Minimum Required: Demonstrated track record of achievement in academics and participation in extracurricular activities.

Systems & Technology

• Working knowledge in Microsoft Excel, Word, and Outlook.
• Comfortable with web browser based data input systems.

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.