Compliance Analyst I-Advisory Services

Stifel•St. Louis, MO

About The Position

Under general supervision, the Compliance Analyst I is a key member of the Compliance Advisory Services unit. The role requires strong knowledge of firm policies and procedures, advisory services and products, and applicable regulations. The Analyst exercises independent thought, handles projects with minimal supervision, and uses an analytical, process-oriented approach to identify practical improvements to established compliance processes. The position supports the creation and maintenance of Form ADV 2B Financial Advisor Supplements, information collection and filing activities, unit procedures and calendars, and quality control and testing for compliance reports, controls, workflows, and system changes. The Analyst also works with internal departments, responds to branch inquiries about advisory matters, and may travel by car or air for local, regional, or national business, up to 10%.

Requirements

Thorough knowledge of SEC, FINRA, and NYSE rules and regulations, as well as industry procedures.
Demonstrated negotiating, conflict-management, and decision-making skills, with the ability to work with associates at all levels of the firm and its branches.
Ability to communicate complex compliance issues, policies, and procedures credibly and convincingly.
General knowledge of business and management principles, including strategic planning, resource allocation, leadership, production methods, and coordination of people and resources.
Ability to use logic and reasoning to evaluate alternative solutions, costs, benefits, and firm-policy implications, and select appropriate actions based on firm and team risk.
Process-oriented mindset and ability to turn observations into clear, practical improvements.
Bachelor's degree or equivalent combination of education and experience.
At least 3 years of brokerage and/or investment advisory experience.
Proficiency in Microsoft Excel, Word, PowerPoint, Outlook, Thompson/BETA, and the firm's supervisory tools.

Nice To Haves

Experience supporting regression testing, data validation, reconciliation, or data quality control.

Responsibilities

Assist in creating and maintaining Form ADV 2B Financial Advisor Supplements, including supplements for new recruits and ongoing changes to existing supplements.
Assist with collecting and maintaining information used in filings.
Maintain unit procedures and calendars, ensuring standard operating procedures are clearly documented, practical, current, and consistently applied.
Assist with regression testing and data quality control for compliance reports, controls, workflows, and system changes by following test procedures, validating results, documenting exceptions, and escalating issues.
Identify opportunities to clarify or improve workflows and escalate recommended enhancements as appropriate.
Work with internal departments, including Program Management and Advisory Operations, on ongoing maintenance issues.
Handle branch inquiries regarding advisory matters and assist branch personnel with policies, procedures, and relevant regulatory rules.
Travel by car and/or air for local, regional, and/or national business, up to 10%.
Identify, correct, and/or escalate disciplinary issues.