Compliance Manager-Asset Management

Stifel•New York, NY

1d•$120,000 - $174,000

About The Position

The Compliance Manager is responsible for the daily activities of the Asset Management compliance department, ensuring requirements are fulfilled under Firm policies and regulatory rules. The role includes management-level department duties, training and advising staff, and overseeing the completion of assigned work. The manager reports to the Chief Compliance Officer of Asset Management. Stifel’s asset management affiliates provide investment management services to institutions and individuals across a variety of asset classes. They use active equity, fixed income, asset allocation, and alternative investment strategies, operating independently while benefiting from Stifel’s resources and shared leadership.

Requirements

Demonstrated knowledge and understanding of SEC rules and regulations and 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.
Ability to take an active role in building the department’s reputation, managing change, solving problems, and making decisions.
Bachelor’s degree in business or a related field.
10 or more years of experience in Compliance, Risk, or Audit.
At least 2 years of leadership experience.
Proficiency in Microsoft Excel, Word, and PowerPoint; Advent SS&C trade suite; broker data feeds; and Bloomberg.

Nice To Haves

Strong preference for experience in Investment Advisory.
IACCP, Series 65, or equivalent compliance certification.

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 or other needs; implement, explain, and enforce compliance and regulatory procedures and policies.
Assist with regulatory filings relating to the Firm’s investment advisory business.
Act as a liaison between Compliance and business areas on matters relating to the Firm’s investment advisory business.