Compliance Manager-Asset Management

Stifel•New York, NY

13d•$120,000 - $174,000

About The Position

The Compliance Manager-Asset Management is responsible for the department’s daily activities and ensuring requirements are fulfilled in accordance with Firm policies and regulatory rules. The role includes managing departmental work, training and advising staff, and overseeing completion of assigned duties. The position reports to the Chief Compliance Officer of Asset Management. Stifel’s asset management affiliates provide investment management and services to institutional and individual clients across a variety of asset classes, including active equity, fixed income, asset allocation, and alternative investment strategies. These standalone asset managers operate independently while benefiting from Stifel’s resources, common leadership, and shared vision.

Requirements

Bachelor’s degree in business or a related field.
10+ years of experience in Compliance, Risk, or Audit.
2+ years of leadership experience.
Demonstrated knowledge and understanding of SEC rules and regulations, as well as industry procedures.
Strong knowledge of advisory services and products and applicable regulations.
Ability to exercise independent thought and handle projects with minimal to no supervision.
Active role in building the department’s reputation, managing change, solving problems, and making decisions.
Proficiency in Microsoft Excel, Word, and PowerPoint, Advent SS&C trade suite, broker data feeds, and Bloomberg.

Nice To Haves

Compliance experience in Investment Advisory is strongly preferred.
IACCP, Series 65, or equivalent Compliance certification preferred.

Responsibilities

Observe and manage analysts’ daily activities to ensure business-area requirements are fulfilled under Firm policies and regulatory rules.
Train new team staff, provide feedback, and escalate matters to the department Director as required.
Monitor rule changes and regulatory developments relating to investment advisers.
Develop procedures for new and revised regulations and direct their implementation.
Assist in developing Firm policies to address enhancements and other needs; implement, explain, and enforce compliance and regulatory procedures and policies.
Assist with regulatory filings relating to the Firm’s investment advisory business.
Serve as a liaison between Compliance and business areas on matters relating to the Firm’s investment advisory business.
Train and advise staff and oversee completion of their assigned duties.