Compliance Analyst II-Institutional Surveillance

Stifel • St. Louis, MO

5d

About The Position

The Compliance Analyst IIInstitutional Surveillance will develop knowledge of institutional compliance. Responsibilities will include working on daily reports, testing existing controls, and assisting in maintenance and tracking project lifecycles.

Requirements

• 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.
• Able to learn and apply new skills, including but not limited to Microsoft Excel, SQL, and various technology platforms necessary when completing daily responsibilities.
• Minimum Required: Bachelor's Degree or combination of equivalent work experience and education.
• Minimum Required: 5+ years of experience in the Financial Services industry.
• Proficient in Microsoft 365.

Nice To Haves

• 2+ years of Compliance experience is preferred.

Responsibilities

• 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.
• Assist 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, and responding to phone calls and inquiries.
• 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.

Benefits

• comprehensive benefits package to include health, dental and vision care, 401k, wellness initiatives, life insurance, and paid time off.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 1,001-5,000 employees