Senior Compliance Advisory Manager

Stifel Financial Corp.; St. Louis (MO); Vor Ort; USD 110.000 - 150.000; Vollzeit

Benefits dieser Stelle

Health, dental, and vision insurance

401k plan

Wellness programs

Paid time off

Zusammenfassung

Stifel is seeking a Compliance Assistant Manager-Advisory Services to oversee the advisory compliance program. You will lead and mentor analysts, drive process improvements, and ensure adherence to SEC/FINRA requirements.

The role requires strong knowledge of the Investment Advisers Act and related regulations, with a focus on risk management and cross‑functional collaboration across Compliance and the Firm.

Qualifikationen

• 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.
• Proficient in Microsoft Excel, Word, PowerPoint, Outlook.

Aufgaben

• Oversee daily administration and oversight of the advisory compliance program.
• Develop, train, lead, and mentor department associates.
• Provide support to department manager for internal procedures and special projects.
• Establish relationships with leaders in other business units to ensure efficient information flow.

Kenntnisse

Compliance analysis

Regulatory understanding

Risk identification

Policy implementation

Leadership & coaching

Ausbildung

Bachelor's Degree

8+ years compliance experience

Tools

Microsoft Excel

Microsoft Word

PowerPoint

Outlook

Jobbeschreibung

Stifel is seeking a Compliance Assistant Manager-Advisory Services to oversee the advisory compliance program. You will lead and mentor analysts, drive process improvements, and ensure adherence to SEC/FINRA requirements.

The role requires strong knowledge of the Investment Advisers Act and related regulations, with a focus on risk management and cross‑functional collaboration across Compliance and the Firm.