Senior Compliance Analyst, Advisory Services Lead

Stifel, Incorporated; St. Louis (MO); On-site; USD 110,000 - 150,000; Full time

Benefits offered by this job

Benefits package

Job summary

Stifel, Incorporated is seeking a Senior Compliance Analyst-Advisory Services to join our Advisory Services team. This role requires thorough knowledge of Firm policies, advisory programs and applicable regulations, and the ability to work independently with minimal supervision while driving scalable, sustainable compliance processes.

You will develop enhanced oversight procedures, lead regression testing and data quality controls, document standard operating procedures, monitor regulatory

Qualifications

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

Responsibilities

• Develop enhanced oversight procedures and controls around advisory programs.
• Lead regression testing and data quality control for compliance reports, controls, workflows, data feeds, and system enhancements; establish test plans and acceptance criteria.
• Oversee the development and maintenance of department SOPs; document processes clearly and ensure consistent application; improve workflows for scalability.
• Assist with periodic reviews of the Advisory Compliance Program including ethics oversight and asset journaling controls.
• Monitor regulatory changes and assist with developing compliant controls.
• Collaborate with Advisory Operations, Operations, Trading, Central Supervision as needed.
• Handle branch inquiries regarding advisory-related policies and procedures.
• Other duties as assigned.

Skills

Regulatory knowledge

Data quality control

Regression testing

Communication skills

Analytical thinking

Negotiation

Education

Bachelor's degree

7+ years brokerage experience

Tools

Microsoft Excel

Microsoft Word

PowerPoint

Outlook

Job description

Stifel, Incorporated is seeking a Senior Compliance Analyst-Advisory Services to join our Advisory Services team. This role requires thorough knowledge of Firm policies, advisory programs and applicable regulations, and the ability to work independently with minimal supervision while driving scalable, sustainable compliance processes.

You will develop enhanced oversight procedures, lead regression testing and data quality controls, document standard operating procedures, monitor regulatory