Compliance Analyst I-Advisory Services

Stifel • Saint Louis, MO

2d

About The Position

The Compliance Analyst I is a member of Stifel’s Compliance Advisory Services unit and works under general supervision. The role requires knowledge of firm policies and procedures, advisory services and products, and applicable regulations. The Analyst exercises independent judgment, manages 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 Part 2B Financial Advisor Supplements, related filing information, unit procedures, and calendars. It also supports testing and data quality control for compliance reports, controls, workflows, and system changes; responds to branch inquiries on advisory matters; and coordinates with internal departments on ongoing maintenance issues. Some local, regional, or national travel by car and/or air may be required, 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, including the ability to work with all levels of branch and firm associates.
• Ability to communicate complex compliance issues, policies, and procedures credibly and convincingly.
• Ability to identify, correct, and/or escalate disciplinary issues.
• 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 assess alternative solutions, costs and benefits, firm policy implications, and risk, and select an appropriate course of action.
• Process-oriented mindset and ability to translate 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 Part 2B Financial Advisor Supplements, including supplements for new recruits and updates 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.
• 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%.

Benefits

• Health care
• Dental care
• Vision care
• 401(k)
• Wellness initiatives
• Life insurance
• Paid time off

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level