Senior Compliance Analyst-Advisory Services

Stifel•Saint Louis, MO

14h

About The Position

The Senior Compliance Analyst is a key member of Stifel’s Advisory Services team. The role requires thorough knowledge of firm policies and procedures, advisory services and products, and applicable regulations. The analyst works closely with Home Office departments and Stifel branches, using independent judgment and working efficiently with minimal supervision. The position brings an analytical, process-oriented mindset to constructively challenge legacy practices and lead the development of clearer, more efficient, scalable, and sustainable compliance processes.

Requirements

Demonstrated organizational skills, strong attention to detail, and ability to meet deadlines.
Strong knowledge and understanding of the Advisers Act, Securities Act, Securities Exchange Act, ERISA, and other relevant laws and regulations 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 work with associates at all levels of branches and the firm.
Ability to communicate complex compliance issues, policies, and procedures credibly and convincingly.
Ability to use logic and reasoning to evaluate 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 an appropriate action in light of 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 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, and oversee remediation and post-implementation verification.
Oversee the development and maintenance of department standard operating procedures, ensuring 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 reviews relating to Code of Ethics oversight, reverse churning, journaling assets between accounts, non-eligible assets, and books and records retention.
Monitor regulatory changes 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.
Identify, correct, or escalate disciplinary issues.
Perform other duties as assigned.