Operations Associate - Margin & Regulatory Compliance

Stifel Financial Corp.; St. Louis (MO); On-site; USD 42,000 - 65,000; Full time

Benefits offered by this job

Health insurance

Job summary

Stifel Financial Corp. is seeking an Operations Associate-Margin in St. Louis to manage trade exceptions, meet regulatory deadlines, and ensure compliance with firm policies. You will collaborate with team members to complete departmental objectives under supervision.

The role requires attention to detail, ability to handle heavy workloads during peak periods, and strong communication with leadership. Bachelor’s degree and 1+ years’ experience are expected.

Qualifications

• Bachelor’s Degree or equivalent required.
• Minimum 1+ years professional business experience.
• Proficiency in Microsoft Office Suite (Outlook, Word, Excel, PowerPoint).

Responsibilities

• Notify branch offices of action items and regulatory deadlines.
• Assist in enforcing firm policies and industry regulations.
• Research and review outstanding debit balances and assist in resolving trade exceptions.
• Document trading violations and apply account restrictions as appropriate.
• Develop effective communication skills within the department.
• Provide timely updates on progression of job responsibilities to leadership.
• Demonstrate the ability to work collaboratively within a team.

Skills

Regulatory understanding

Attention to detail

Time management

Team player

Autonomous working

Education

Bachelor’s Degree or equivalent

1+ years professional business experience

Tools

Microsoft Office

Job description

Stifel Financial Corp. is seeking an Operations Associate-Margin in St. Louis to manage trade exceptions, meet regulatory deadlines, and ensure compliance with firm policies. You will collaborate with team members to complete departmental objectives under supervision.

The role requires attention to detail, ability to handle heavy workloads during peak periods, and strong communication with leadership. Bachelor’s degree and 1+ years’ experience are expected.