Compliance Assistant Manager-Advisory Services

Stifel•St. Louis, MO

About The Position

The Compliance Assistant Manager supports the daily administration and oversight of the Firm’s advisory compliance program, ensuring departmental requirements are fulfilled in accordance with Firm policies and regulatory rules. The role develops, trains, leads, and mentors department associates and their work. It also supports the department manager with procedures, projects, workflow prioritization, and other initiatives while helping maintain effective processes and regulatory compliance.

Requirements

Bachelor’s degree or equivalent education and experience.
At least 8 years of compliance, brokerage, investment advisory, or related financial-services experience.
Series 65 or 66, or the ability to obtain one within one year of hire.
Industry knowledge of the theories and concepts of methodology, process development, change management, and implementation.
Working knowledge of compliance analysis and reporting.
Ability to identify risk and implement appropriate control mechanisms.
Strong knowledge of the Investment Advisers Act of 1940, applicable SEC and FINRA requirements, and advisory industry practices.
Ability to provide input on compliant policy and procedure guidelines for new and revised regulations and direct their implementation; ability to implement, explain, and enforce compliance or regulatory procedures and policies.
Proficiency in Microsoft Excel, Word, PowerPoint, and Outlook.

Responsibilities

Develop and lead analysts through coaching and support for team culture and dynamics to meet high performance standards.
Oversee cross-training, identify process-improvement opportunities, and lead implementation of enhancements.
Support the department manager with internal procedures, special projects, and other department initiatives.
Build relationships with leaders across Compliance and the Firm to support efficient information flow and feedback on the effects of process, policy, and product changes.
Use independent judgment and discretion when making decisions or recommendations about alerts, cases, and investigations.
Conduct quality and accuracy reviews of associates’ work to ensure compliance with policies and procedures.
Identify process gaps and lead small projects to implement solutions.
Assist with writing, maintaining, and auditing department policies and procedures, and train and guide analysts on new functions.
Work with the department manager to prioritize workflow based on staffing and capacity.
Assist in monitoring rule changes and regulatory developments.
Perform and assist with special projects and other duties as assigned.