Compliance Analyst II-Advisory Services

Stifel strives for a culture that puts its clients and associates first: a culture where everyone belongs, everyone is welcome, and everyone contributes to the success of our clients, their careers, and the firm as a whole.

Let’s talk about how you can find your place here at Stifel, where success meets success.

The Compliance Analyst II-Advisory Services assists with developing and analyzing advisory-related compliance issues, procedures, policies, and controls. The Analyst II applies an analytical, process-oriented mindset to recommend enhancements, improve established workflows, and support scalable and sustainable compliance processes.

• Assist with issues surrounding regulatory filings completed by the Compliance - Advisory Services unit, including responsibility for collecting and analyzing information, and liaising with other departments and affiliates as needed.
• Assist in developing enhanced oversight procedures and controls around the Firm's advisory programs, including developing oversight reports for the department.
• Perform and document regression testing and data quality control for compliance reports, controls, workflows, and system enhancements; develop test scenarios, validate source-to-output results, reconcile exceptions, and coordinate remediation with business and technology stakeholders.
• Help oversee the development and maintenance of department standard operating procedures, evaluate existing workflows and legacy processes, identify root causes and opportunities for improvement, and partner with stakeholders to design and implement clearer, more efficient, scalable, and sustainable solutions.
• Work with other internal departments as needed with on-going maintenance issues, including, but not limited to Program Management, Operations, Trading, etc.
• Handle branch inquiries regarding advisory-related policies and procedures. Provide assistance to branch personnel on policies, procedures and relevant regulatory rules.

• Strong knowledge and understanding of SEC rules and regulations as well industry procedures.
• Knowledge of the firm's policy and procedures, and specifically, the advisory services and products, as well as applicable regulations.
• Ability to exercise independent thought and handle projects with minimal supervision. Uses logic and reasoning to evaluate the strengths and weaknesses of alternative solutions, conclusions, or approaches and translates analysis into clear, practical process recommendations.
• Experience performing regression testing, data validation, reconciliation, and data quality control, including documenting test results and resolving exceptions.

• Minimum Required: Bachelor’s degree or equivalent combination of education and experience.
• Minimum Required: 5+ years brokerage and/or investment advisory industry experience.

• Minimum Required: Series 65 or 66, or the ability to obtain within one year of hire.

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

Stifel is more than 130 years old and still thinking like a start-up.  We are a global wealth management and investment banking firm serious about innovation and fresh ideas.  Built on a simple premise of safeguarding our clients’ money as if it were our own, coined by our namesake, Herman Stifel, our success is intimately tied to our commitment to helping families, companies, and municipalities find their own success.

While our headquarters is in St. Louis, we have offices in New York, San Francisco, Baltimore, London, Frankfurt, Toronto, and more than 400 other locations.  Stifel is home to approximately 9,000 individuals who are currently building their careers as financial advisors, research analysts, project managers, marketing specialists, developers, bankers, operations associates, among hundreds more.  Let’s talk about how you can find your place here at Stifel, where success meets success.

At Stifel we offer an entrepreneurial environment, comprehensive benefits package to include health, dental and vision care, 401k, wellness initiatives, life insurance, and paid time off.

Stifel is an Equal Opportunity Employer.