What are the responsibilities and job description for the Compliance Analyst III-Advisory Services position at Stifel?
Why Stifel
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.
What You'll Be Doing
The Compliance Analyst III - Advisory Services is a key member of the Advisory Services team and has thorough knowledge of firm policy and procedures, specifically, the advisory services and products, as well as and applicable regulations. This position works closely with Home Office departments and Stifel branches and requires independent thought, excellent judgment, and the ability to work with minimal supervision.
What We're Looking For
- Assist with developing enhanced oversight procedures and controls around the firm's advisory programs, including developing and running regular oversight reports for the department.
- Assist with periodic reviews of the Advisory Compliance Program, including reviews relating to Code of Ethics oversight, reverse churning, journaling assets between accounts, non-eligible assets, books, and records retention, etc.
- Monitor rule changes or regulatory developments relating to investment advisers and assist with developing controls to meet such new or modified requirements.
- Work with other internal departments as needed on ongoing maintenance issues, including, but not limited to, Consulting Services, Operations, Trading, etc.
- Handle branch inquiries regarding advisory-related policies and procedures. Assist branch personnel with policies, procedures, and relevant regulatory rules.
- Other duties as assigned.
What You'll Bring
- Demonstrates organization skills, strong attention to detail, and the ability to meet deadlines.
- Thorough knowledge of SEC/FINRA/NYSE rules, regulations, and industry procedures.
- Demonstrates negotiating, conflict management, and decision-making skills, with the ability to deal with all levels of branch and firm associates.
- Communicate complex compliance issues, policies, and procedures credibly and convincingly.
- Identify, correct, and/or escalate disciplinary issues.
Education & Experience
- Minimum Required: Bachelor's degree or equivalent combination of education and experience.
- Minimum Required: 8 years' brokerage and/or investment advisory industry experience
Licenses & Credentials
- Minimum Required: Series 65 within one year of hire
Systems & Technology
- Proficient in Microsoft Excel, Word, PowerPoint, Outlook
About Stifel
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.
