Compliance Assistant Manager-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 Assistant Manager-Advisory Services supports the daily administration and oversight of the Firm’s advisory compliance program to ensure requirements of the department are fulfilled, as required by Firm policies and regulatory rules. This position develops, trains, leads, and mentors department associates and their work.

• Develop and lead analysts through coaching and supporting team culture and dynamics to meet high performance standards.
• Oversee cross training, identify opportunities for process improvement, and lead the implementation of related enhancements.
• Provide support to the department manager for internal procedures, special projects, and other department initiatives.
• Establish relationships with leaders in other business units throughout Compliance and the Firm to influence efficient information flow and feedback on the impacts of process, policy, and product changes.
• Exercise independent judgment and discretion when making decisions or recommendations in relation to each alert/case decision and investigation.
• Conduct quality and accuracy reviews on associates within the department to ensure the associate's review is complying with specific policies and procedures.
• Identify potential gaps in processes and spearhead small projects to implement solutions.
• Assist in writing, maintaining, and auditing policies and procedures specific to department and provide training and guidance to analysts for new functions.
• Work closely with department manager to ensure the workflow is prioritized based on staffing and capacity.
• Assist in monitoring rule changes or regulatory developments.
• Perform and assist with special projects, as needed and other duties as assigned.

• Industry knowledge on the theories and concepts of methodology, process development, change management, and implementation.
• Working knowledge of Compliance analysis and reporting.
• Ability to identify risk and implement appropriate control mechanisms.
• Strong knowledge of the Investment Advisers Act of 1940, applicable SEC and FINRA requirements, and advisory industry practices.
• Ability to provide input on guidelines for procedures and policies that comply with new and revised regulations and directs their implementation. Implements, explains, and enforces compliance and/or regulatory procedures and policies.

• Minimum Required: Bachelor's Degree or equivalent education and experience.
• Minimum Required: 8+ years of compliance, brokerage, investment advisory, or related financial-services 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.