Compliance Analyst - Registration

Stifel•St. Louis, MO

About The Position

Stifel strives for a culture that puts its clients and associates first: a culture where everyone belongs, everyone is welcome, and everyone contributes to the success of our clients, their careers, and the firm as a whole. Let’s talk about how you can find your place here at Stifel, where success meets success. Under minimal supervision, the Registration Compliance Analyst I prepares and processes all securities related registration for the firm and its licensed individuals. This includes new offices and updates, acquisitions, all broker/dealer subs and affiliates, jurisdiction applications and renewals, terminations, relicensing, transfer of commission requests, and registration violations.

Requirements

General knowledge and understanding of FINRA, SEC, MSRB, and NYSE regulations.
Working knowledge of securities registration requirements for broker/dealers and registered individual requirements.
Excellent research, writing, and verbal and written communication skills.
Strong attention to detail and ability to manage multiple tasks with competing deadlines.
Ability to maintain accurate records and documentation within registration and compliance systems.
Ability to manage multiple concurrent projects and prioritize effectively.
Minimum Required: Bachelor's Degree or equivalent work experience.
Minimum Required: 2+ years of Financial Services industry experience.
Proficient in Microsoft Excel, Word, PowerPoint, Outlook

Responsibilities

Facilitate fingerprinting of all employees; bring any RAPP sheet issues to the attention of the Department Manager.
Process Form U4s, U5s, & BRs, and make prompt amendments as applicable to the position.
Maintain accurate information in BETA (REGR) and accurate information on NRF Associates, Representatives, Investment Advisors, and current locations.
Manage registrations related to new offices, acquisitions, broker/dealer subsidiaries, and affiliated entities.
Process jurisdictional applications, renewals, terminations, relicensing, and registration transfers.
Perform annual state registration renewals and reconciliation.
Review and monitor various forms and reports to provide support and improvement.
Ensure compliance with applicable industry rules and regulations.
Responsible for other projects assigned by supervisor/manager that are generally complex, difficult, or broad in scope.