Senior Compliance Analyst - Advisory Oversight

Stifel Financial Corp.; St. Louis (MO); Vor Ort; USD 90.000 - 130.000; Vollzeit

Zusammenfassung

Stifel Financial Corp. in St. Louis seeks a Senior Compliance Analyst-Advisory Services to join the Advisory Services team.

You will apply deep knowledge of Firm policies, advisory products, and applicable regulations to build clearer, scalable compliance processes and collaborate with Home Office and branches. The role requires independent judgment, strong data/testing skills, and experience with SEC/FINRA/NYSE rules.

Qualifikationen

• Develop enhanced oversight procedures and controls for advisory programs.
• Lead regression testing, data quality control, and test plan development.
• Maintain department SOPs and ensure documented, scalable processes.
• Review Advisory Compliance Program including ethics oversight and asset journaling.
• Monitor regulatory changes relating to investment advisers and implement controls.
• Collaborate with Advisory Operations, Trading, and Central Supervision.
• Handle branch inquiries about advisory policies and rules.

Aufgaben

• Assist with overseeing advisory program compliance.
• Develop and run oversight reports.
• Coordinate regression testing and data validation.
• Maintain SOPs and improve workflows.
• Respond to branch inquiries regarding policies.

Kenntnisse

Regulatory compliance

Advisers Act knowledge

Strong judgment

Data analysis

Regression testing

Ausbildung

Bachelor's degree or equivalent

7+ years brokerage/investment advisory experience

Tools

Excel

Word

PowerPoint

Outlook

Jobbeschreibung

Stifel Financial Corp. in St. Louis seeks a Senior Compliance Analyst-Advisory Services to join the Advisory Services team.

You will apply deep knowledge of Firm policies, advisory products, and applicable regulations to build clearer, scalable compliance processes and collaborate with Home Office and branches. The role requires independent judgment, strong data/testing skills, and experience with SEC/FINRA/NYSE rules.