The Compliance Analyst I is responsible for testing policies and procedures for multiple broker-dealer affiliates focusing on Supervisory Control Testing. The Compliance Analyst I will enforce the system of supervisory control policies and procedures, test and verify compliance with securities laws and regulation, and create additional or amend supervisory procedures when identified by testing.
Gather, validate and analyze data, documents and information relative to a determined testing plan and current policies and procedures.
Collaborate with business process owners and key players to document processes and report to all necessary parties.
Analysis of new rule filings, regulatory updates and enforcement actions to determine relevance and needed testing; including SEC Priority Letters, FINRA's Examination, and Risk Monitoring Program.
Lead multi-department tests that could potentially identify gaps, control issues, or inaccurate policies.
Collaborate and consult with peers, managers, directors or senior management to find opportunities for process improvement and risk control development.
Assist in regulatory remediation.
Assist in other duties as assigned by management.
Intermediate knowledge of FINRA, NYSE, MSRB and SEC Rules
Strong research, writing and communication skills
Ability to lead meetings and communicate effectively with all levels of the organization
Strong organization skills with the ability to handle multiple projects/tasks
Ability to work independently or in a group setting
Ability to be a self-starter with a natural curiosity
Bachelor's degree in related field or 2+ industry experience
Proficient in Microsoft Excel, Word, PowerPoint, Outlook
Stifel is more than 130 years old and still thinking like a start-up. We are a global wealth management and investment banking firm serious about innovation and fresh ideas. Built on a simple premise of safeguarding our clients' money as if it were our own, coined by our namesake, Herman Stifel, our success is intimately tied to our commitment to helping families, companies, and municipalities find their own success.
While our headquarters is in St. Louis, we have offices in New York, San Francisco, Baltimore, London, Frankfurt, Toronto, and more than 400 other locations. Stifel is home to approximately 9,000 individuals who are currently building their careers as financial advisors, research analysts, project managers, marketing specialists, developers, bankers, operations associates, among hundreds more. Let's talk about how you can find your place here at Stifel, where success meets success.
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.
Stifel is an Equal Opportunity Employer.
Compliance Analyst I - Supervisory Control Policies and Procedures • Saint Louis, MO, United States
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