Junior Compliance Analyst, Advisory Services

Stifel, Incorporated; St. Louis (MO); On-site; USD 65,000 - 90,000; Full time

Benefits offered by this job

Health cover

Dental

Vision

401k

Wellness programs

Life insurance

Paid time off

Job summary

Stifel, Incorporated in the United States seeks a Compliance Analyst I-Advisory Services to support the Compliance Advisory Services unit, applying knowledge of firm policies, advisory products, and regulations to improve processes.

Under supervision, the analyst handles projects with minimal supervision, assists with Form ADV 2Bs, filings data, testing, and workflow improvements, and coordinates with Program Management, Advisory Operations, and Operations. Travel up to 10% as needed.

Qualifications

• Bachelor's degree or equivalent combination of education and experience.
• 3+ years brokerage and/or investment advisory experience.

Responsibilities

• Assist in creating and maintaining Form ADV 2Bs for FA Supplements, including new recruits and updates.
• Assist with collecting and maintaining information used in filings.
• Maintain unit procedures and calendar with current SOPs.
• Support regression testing and data quality control for compliance reports, controls, workflows, and system changes.
• Identify opportunities to clarify or improve existing workflows and escalate enhancements as needed.
• Collaborate with Program Management, Advisory Operations, and Operations for maintenance issues.
• Handle branch inquiries regarding advisory-related matters and policies.

Skills

SEC/FINRA knowledge

Regulatory compliance

Data quality control

Communication skills

Analytical mindset

Education

Bachelor's degree

Tools

Excel

Word

PowerPoint

Thompson/BETA

Job description

Stifel, Incorporated in the United States seeks a Compliance Analyst I-Advisory Services to support the Compliance Advisory Services unit, applying knowledge of firm policies, advisory products, and regulations to improve processes.

Under supervision, the analyst handles projects with minimal supervision, assists with Form ADV 2Bs, filings data, testing, and workflow improvements, and coordinates with Program Management, Advisory Operations, and Operations. Travel up to 10% as needed.