Regulatory Operations Associate

Stifel • St. Louis, MO

2d

About The Position

The Regulatory Operations Associate supports the firm’s regulatory operations function by performing daily regulatory reporting, monitoring, exception review, and documentation tasks to ensure compliance with SEC, FINRA, and other regulatory agency requirements. This role requires developing a foundational understanding of regulatory reporting processes, operational controls, and industry regulations. The Associate works under direct supervision and collaborates with team members to execute department objectives while following established procedures and maintaining a high level of accuracy, timeliness, and attention to detail.

Requirements

• Demonstrate the ability to attain a general understanding of industry rules/regulations and Stifel policies that pertain to the department.
• Strong attention to detail to minimize risk to the firm.
• Demonstrate initiative, self-direction, and effective organization to meet deadlines.
• Ability to handle large workloads that vary based on heavy volume periods.
• Ability to work autonomously throughout the day based on performance criteria provided by leadership.
• Minimum Required: Bachelor’s Degree or equivalent combination of education and experience.
• Minimum Required: No experience required; 1+ years of professional business-related experience preferred.
• Proficient in Microsoft Office Suite, including Outlook, Word, Excel, and PowerPoint.

Responsibilities

• Process, create, and enter data into applicable systems to support the firm’s regulatory reporting requirements.
• Monitor daily regulatory reporting queues and tasks, escalating irregularities or potential compliance issues to leadership according to established procedures.
• Assist in maintaining audit-ready documentation to validate process adherence and accuracy.
• Perform routine reconciliations, account balancing, and quality checks to validate completeness and accuracy of regulatory processes.
• Adhere to internal controls, workflow standards, and compliance procedures to ensure consistent and accurate execution of regulatory tasks.
• Coordinate with internal partners and departments to facilitate resolution of potential regulatory issues to ensure adherence.
• Develop strong communication skills to effectively interact within the team and with key stakeholders.
• Provide timely status updates to leadership regarding progress, workload, and any challenges encountered.
• Demonstrate teamwork by collaborating effectively with peers to meet departmental goals.

Benefits

• At Stifel we offer an entrepreneurial environment, comprehensive benefits package to include health, dental and vision care, 401k, wellness initiatives, life insurance, and paid time off.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level