Guideline Monitoring Associate II

Stifel•Saint Louis, MO

About The Position

The Guideline Monitoring Associate II is responsible for collaborating with the Program Managers, Financial Advisors (FAs), Client Services Associates (CSAs), Branch Supervisors, Central Supervision, Operations, Legal, and Compliance Teams to ensure that Stifel Policies and Procedures and specific program parameters are understood and adhered to, and escalates issues, as appropriate. Product Control & Oversight (PCO) oversees and adheres to Stifel's policies and parameters for the various investment products and programs within the Investment Products & Services (IP&S) business unit.

Requirements

General understanding of Wealth Management products and services, including but not limited to investment securities, advisory programs, investment strategy and theory, asset allocation, and regulations.
Ability to use logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions, or problem approaches.
Considering the implications of all options (benefits, costs, and risk factors) and being able to determine the most appropriate solution.
Demonstrates strong written and verbal communication skills with strong attention to detail; able to communicate effectively with all levels of personnel to ensure compliance with policies, regulations, and Program Parameters.
Strong problem-solving skills with an ability to think of innovative solutions.
Minimum Required: College Degree or equivalent experience in a related field.
Minimum Required: 1-3 years of professional experience or an internship working in financial industry compliance, risk, operations, audit, and or control functions.
Proficient in Microsoft Office Suite, including Outlook, Word, Excel, and PowerPoint.

Nice To Haves

Familiarity with data analysis and reporting in Microsoft Excel, including exposure to Pivot Tables and lookup functions, is a plus.

Responsibilities

Reviews and escalates identified incidents daily (T+1) related to the rules and/or parameters for the various products/programs within IP&S.
Interacts with Financial Advisors, CSAs, Branch Supervisors, and Central Supervision providing details related to identified incidents.
Engages with Program Managers, FAs, CSAs, Branch Supervisors, Central Supervision, Operations, Legal, and Compliance Teams to resolve outstanding rules and/or parameter alerts.
Completes ad hoc queries/reviews and any needed clean-up activities.
Handles special projects and other duties as assigned.
Assist with limiting the Firm's regulatory and reputational risk and reinforcing the Firm's culture of Compliance