Compliance Analyst I - Branch Activities Job Listing at Stifel in Saint Louis, MO (Job ID 7832)

Description

The Compliance Analyst I - Branch Activities establishes and maintains open lines of communication and acts as a contact point for branch office locations to assist with applicable Firm policies and/or procedures and regulatory rules. The Analyst I conducts branch examinations and follow up in compliance with FINRA Rule 3110 and is responsible for a working knowledge of both Stifel and affiliated Firms' policy manuals and applicable updates.

• Analyze reports and documents for conformity to Firm and industry policies/rules during the examination.
• Advise branch supervisory and operational personnel on matters such as Firm policies and procedures or regulatory rules.
• Assist with and prepare summary reports indicating findings and corrective action to protect the branch and Firm from regulatory infractions or enforcement actions.
• Perform ongoing oversight of branch office compliance with Firms' policies, procedures, regulatory rules, and supervisory systems. Report deficiencies, recommend corrective action, and escalate as needed.
• Perform all applicable administrative duties such as filing, preparing various spreadsheets and reports, performing or assisting with special projects, and responding to questions from the field or other departments of the Firm via phone calls/email.
• Analyze and identify issues and trends for improved processes and controls.
• Develop and track improvement or remediation plans resulting from examination findings.
• Collaborates with Senior Analysts to complete high risk examinations and assist with special projects as assigned.
• Solid understanding of SEC and FINRA rules/regulations, industry practice, and how they apply to Firm policies and procedures.
• Demonstrates professionalism, integrity, maturity, intellectual curiosity, initiative and good judgment; takes pride of ownership for wins and accountability for losses/mistakes.
  
  

• Dedicated to accomplishing goals; willing to take on additional responsibilities to produce outstanding work; strives for excellence; maintains a positive attitude through challenging situations.
• Ability to use logic and reasoning to identify risks and solutions to problems.
• Ability to independently plan, manage, and execute workload while continuing to contribute to team goals.
• Excellent written and verbal communication skills.
• Local, regional, and/or national travel by car and/or air, up to 35%.

• Minimum Required: Bachelor's degree or equivalent experience
• Minimum Required: 2+ years of Finance or related experience

• Preferred: SIE, Series 7, and 63/65 or 66 licenses

• 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.