Advertising Compliance Senior Analyst Advisory Job at Stifel Financial in St. Lo

The Advertising Compliance Senior Analyst – Advisory reviews, edits, advises, and verifies the final copy in accordance with all appropriate marketing rules and regulations promulgated under the Investment Advisers Act of 1940 (as amended).

What We're Looking For

• Reviews investment advisory communications intended to be distributed to members of the public for consistency with SEC regulations, Firm policies and procedures, and Firm image.
• Marks and communicates required changes to the materials or offers possible alternative materials, when available, if submitted materials are not approvable.
• Answers questions from Stifel's investment advisory affiliates, financial advisors, branch managers, and others pertaining to the submitted materials and required changes, as needed.
• Verifies that changes indicated have been made upon resubmission or remarks changes still to be made.
• Approves or denies materials for Stifel's investment advisory affiliates, financial advisors, branch managers, and any other designated individual in the branch or home office.
• Helps maintain communications through AdTrax as needed to ensure accurate documentation and availability of information.
• Actively pursues gaining additional knowledge and licenses to fully respond to material submissions.
• Interacts regularly with the Asset Management Chief Operating Officer and Stifel's investment advisory affiliates, flagging issues as they arise, to optimize review timeliness.

What You'll Bring

Education & Experience

Licenses & Credentials

Systems & Technology

About Stifel

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.

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