Compliance Analyst II-Advisory Services

Stifel•St. Louis, MO

About The Position

The Compliance Analyst II – Advisory Services assists with developing and analyzing advisory-related compliance issues, procedures, policies, and controls. The role applies an analytical, process-oriented mindset to recommend enhancements, improve established workflows, and support scalable and sustainable compliance processes. The analyst supports regulatory filing matters, advisory program oversight, compliance reporting, regression testing, data quality control, and the development and maintenance of standard operating procedures. The position works with internal departments and stakeholders to address ongoing maintenance issues, improve processes, and respond to branch inquiries about advisory policies, procedures, and regulatory rules.

Requirements

Strong knowledge and understanding of SEC rules and regulations, as well as industry procedures.
Knowledge of the firm's policies and procedures, advisory services and products, and applicable regulations.
Ability to exercise independent thought and handle projects with minimal supervision.
Ability to use logic and reasoning to evaluate alternative solutions, conclusions, or approaches and translate analysis into clear, practical process recommendations.
Experience performing regression testing, data validation, reconciliation, and data quality control, including documenting test results and resolving exceptions.
Bachelor's degree or equivalent combination of education and experience.
At least 5 years of brokerage and/or investment advisory industry experience.
Series 65 or 66, or the ability to obtain one within one year of hire.
Proficiency in Microsoft Excel, Word, PowerPoint, and Outlook.

Responsibilities

Assist with regulatory filing issues handled by the Compliance – Advisory Services unit by collecting and analyzing information and liaising with other departments and affiliates.
Help develop enhanced oversight procedures and controls for the Firm's advisory programs, including oversight reports for the department.
Perform and document regression testing and data quality control for compliance reports, controls, workflows, and system enhancements.
Develop test scenarios, validate source-to-output results, reconcile exceptions, and coordinate remediation with business and technology stakeholders.
Help oversee the development and maintenance of department standard operating procedures.
Evaluate workflows and legacy processes, identify root causes and opportunities for improvement, and partner with stakeholders to design and implement clearer, more efficient, scalable, and sustainable solutions.
Work with internal departments on ongoing maintenance issues, including Program Management, Operations, and Trading.
Handle branch inquiries regarding advisory-related policies and procedures and assist branch personnel with policies, procedures, and relevant regulatory rules.