Senior Compliance Advisory Manager

Stifel, Incorporated; St. Louis (MO); On-site; USD 110,000 - 160,000; Full time

Job summary

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.

Qualifications

• 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.

Responsibilities

• 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.

Skills

Compliance analysis

Risk management

Regulatory knowledge

Change management

Education

Bachelor’s Degree or equivalent education and experience

Tools

Microsoft Excel

Microsoft Word

PowerPoint

Outlook

Job description

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.