Compliance Analyst I–Institutional Surveillance - Stifel

What You'll Be Doing:

The Compliance Analyst I–Institutional Surveillance will serve as a generalist, developing knowledge of institutional compliance. Responsibilities will include working on daily reports, testing existing controls, and assisting in maintenance and tracking project lifecycles. This position will collaborate on shared initiatives with business partners throughout the Firm.

What We're Looking For:

• Perform reviews promptly, investigate and escalate issues as necessary, and document the resolution and any corrective action taken.
• Utilize ad-hoc query tools to mine data for investigations.
• Assists the Firm in researching and responding to SEC, FINRA, and MSRB regulatory inquiries.
• Perform administrative duties such as preparing various spreadsheets and reports, performing or assisting with special projects, responding to phone calls, inquiries, etc.
• Partner with additional internal departments to reduce risk and gain additional information or knowledge to enhance project execution.
• Maintain statistics, identify patterns, and contribute to management reports to appropriately escalate significant issues and accomplishments.
• Perform other duties as assigned by the Manager or Director.

What You'll Bring:

• Demonstrates professionalism, integrity, maturity, intellectual curiosity, initiative, and good judgment.
• Excellent verbal and written communication skills. Ability to communicate effectively with individuals at all levels within an organization.
• Takes pride of ownership for successes and accountability for mistakes.
• Strong analytical, organizational, time management, and people skills.
• Ability to manage multiple tasks simultaneously, flexibility, and adaptability to change.
• Strong decision-making and critical thinking skills.
• Ability to use logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions, or problem approaches.
• Understanding new information's implications for current and future problem-solving and decision-making.
• Able to learn and apply new skills, including but not limited to Microsoft Excel, SQL, and various technology platforms necessary when completing daily responsibilities.

Education & Experience:

• Minimum Required: Bachelor's Degree or combination of equivalent work experience and education.
• Minimum Required: 2+ years of experience in Financial Services, Operations, IT, or Compliance.

Systems & Technology:

• Proficient in Microsoft 365.

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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.