Compliance Analyst II-Advisory Services

Stifel•Saint 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 uses an analytical, process-oriented approach to recommend enhancements, improve established workflows, and support scalable, sustainable compliance processes. The analyst supports regulatory filing matters, oversight procedures and reports, and testing and data-quality controls for compliance reports, workflows, and system enhancements. The position also helps maintain standard operating procedures, assess existing and legacy processes, identify root causes and improvements, and coordinate with internal departments and stakeholders. The analyst responds to branch inquiries and provides guidance on advisory-related policies, procedures, and regulatory rules.

Requirements

Strong knowledge and understanding of SEC rules and regulations and 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 ability to obtain within one year of hire.
Proficiency in Microsoft Excel, Word, PowerPoint, and Outlook.

Responsibilities

Assist with issues involving regulatory filings completed by the Compliance - Advisory Services unit, including collecting and analyzing information and liaising with departments and affiliates.
Assist in developing enhanced oversight procedures and controls for the Firm's advisory programs, including developing department oversight reports.
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 existing workflows and legacy processes, identify root causes and improvement opportunities, and partner with stakeholders to design and implement clearer, more efficient, scalable, and sustainable solutions.
Work with other internal departments on ongoing maintenance issues, including Program Management, Operations, and Trading.
Handle branch inquiries regarding advisory-related policies and procedures.
Provide branch personnel with assistance on policies, procedures, and relevant regulatory rules.