Senior Compliance Analyst-Advisory Services

Stifel•St. Louis, MO

About The Position

The Senior Compliance Analyst on the Advisory Services team applies thorough knowledge of Firm policies and procedures, advisory services and products, and applicable regulations. The role works closely with Home Office departments and Stifel branches, requiring independent judgment, sound analysis, and the ability to work efficiently with minimal supervision. The analyst helps develop clearer, more efficient, scalable, and sustainable compliance processes, and constructively challenges legacy practices. The role supports oversight of the Firm's advisory programs, including developing and running oversight reports, testing and validating compliance systems and data, maintaining standard operating procedures, reviewing the Advisory Compliance Program, monitoring regulatory developments, and assisting branches with advisory-related policies and procedures. It also collaborates with internal departments on ongoing maintenance issues and performs other duties as assigned.

Requirements

Demonstrated organizational skills, strong attention to detail, and ability to meet deadlines.
Strong knowledge and understanding of the Advisers Act, the Securities Act, the Securities Exchange Act, ERISA, and other relevant regulations and laws applicable to the Firm and its advisory services.
Thorough knowledge of SEC, FINRA, and NYSE rules, regulations, and industry procedures.
Demonstrated negotiating, conflict management, and decision-making skills, with the ability to deal with branch and firm associates at all levels.
Ability to communicate complex compliance issues, policies, and procedures credibly and convincingly.
Ability to identify, correct, and/or escalate disciplinary issues.
Ability to use logic and reasoning to assess alternative solutions and recommend changes or enhancements to advisory compliance programs, controls, and processes.
Demonstrated experience leading or independently performing regression testing, data validation, reconciliation, and data quality control, including defining test strategies, assessing material exceptions, and communicating results to stakeholders.
Ability to consider the relative costs, benefits, and Firm policy of potential actions and choose the most appropriate action based on Firm and Team risk.
Bachelor's degree or equivalent combination of education and experience.
At least 7 years of brokerage and/or investment advisory industry experience.
FINRA Series 65 or 66, or ability to obtain one within one year of hire.
Proficiency in Microsoft Excel, Word, PowerPoint, and Outlook.

Responsibilities

Assist with developing enhanced oversight procedures and controls for the Firm's advisory programs, including developing, enhancing, and running regular department oversight reports.
Lead or coordinate regression testing and data quality control for compliance reports, controls, workflows, data feeds, and system enhancements; establish test plans and acceptance criteria, validate data lineage and source-to-output results, assess exceptions, oversee remediation, and perform post-implementation verification.
Oversee the development and maintenance of department standard operating procedures; ensure processes are clearly documented, practical, and consistently applied.
Evaluate existing workflows and legacy processes, identify root causes and improvement opportunities, and partner with stakeholders to design and implement scalable, sustainable solutions.
Assist with periodic reviews of the Advisory Compliance Program, including Code of Ethics oversight, reverse churning, journaling assets between accounts, non-eligible assets, and books and records retention.
Monitor regulatory changes and developments relating to investment advisers and assist with developing controls to meet new or modified requirements.
Work with internal departments on ongoing maintenance issues, including Advisory Operations, Operations, Trading, and Central Supervision.
Handle branch inquiries regarding advisory-related policies and procedures and assist branch personnel with policies, procedures, and relevant regulatory rules.
Perform other duties as assigned.