Compliance Manager - Asset Management
About The Position
The Asset Management Compliance Manager is responsible for the department’s daily activities and ensuring requirements are fulfilled in accordance with firm policies and regulatory rules. The manager oversees analysts’ work, trains and advises staff, and ensures assigned duties are completed. The position 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. Their strategies include active equity, fixed income, asset allocation, and alternative investments. The affiliates operate independently while benefiting from Stifel’s resources, common leadership, and shared vision.
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.
- 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, or equivalent experience.
- 10+ years of experience in Compliance, Risk, or Audit; Investment Advisory experience is strongly preferred.
- 2+ years of leadership experience.
- Proficiency in Microsoft Excel, Word, PowerPoint, and Outlook, Advent SS&C trade suite, broker data feeds, and Bloomberg.
Nice To Haves
- Investment Advisory experience.
- IACCP, Series 65, or equivalent compliance certification.
Responsibilities
- Manage and observe analysts’ daily activities to ensure business-area requirements are fulfilled under firm policies and regulatory rules.
- Train new staff, provide feedback, and escalate matters to the department Director as needed.
- 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 related to the firm’s investment advisory business.
- Act as a liaison between Compliance and business areas on matters related to the firm’s investment advisory business.
Benefits
- Discretionary bonuses
- Health, dental, vision, and prescription insurance offerings
- Stifel Total Health Connect
- Flexible spending accounts
- Tuition and certification assistance programs
- Paid time off
- 401(k)
- Wellness initiatives
- Life insurance
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What This Job Offers
Job Type
Full-time
Career Level
Manager
