Compliance Manager - Asset Management

Stifel•Bethesda, MD

3d•$115,000 - $160,000

About The Position

The Asset Management Compliance Manager is responsible for the department’s daily activities and ensuring requirements are fulfilled under Firm policies and regulatory rules. The manager trains and advises staff, oversees completion of assigned duties, and 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, using active equity, fixed income, asset allocation, and alternative investment strategies. The affiliates operate independently while sharing common leadership and vision. This role manages compliance activities for the Firm’s investment advisory business, including monitoring regulatory developments, developing and implementing procedures, assisting with regulatory filings, and serving as a liaison between Compliance and business areas.

Requirements

Bachelor’s degree in business or a related field, or equivalent experience.
10+ years of experience in Compliance, Risk, or Audit.
2+ years of leadership experience.
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.
Proficiency in Microsoft Excel, Word, PowerPoint, Outlook, Advent SS&C trade suite, Broker data feeds, and Bloomberg.

Nice To Haves

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

Responsibilities

Observe and manage analysts’ daily activities to ensure business requirements are met under Firm policies and regulatory rules.
Train new staff, provide feedback, and escalate matters to the department Director as required.
Monitor rule changes and regulatory developments relating to investment advisors.
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 for 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.