Advertising Compliance Analyst

The Public Communications Specialist reviews, edits, advises, and verifies the final copy, with the Series 24 Principal approving (or denying) communications intended for public distribution or viewing.

What We're Looking For

Review any branch or department communications intended to be distributed to members of the public to ensure they are consistent with FINRA and SEC regulations, firm policies and procedures, and firm image.

Mark and communicate required changes to the materials or offer possible alternative materials, when available, if submitted materials are not approvable.

Answer questions from Financial Advisors, Branch Managers, and others pertaining to the submitted materials and required changes, as needed.

Verify that changes indicated have been made upon resubmission or that remark changes are still to be made.

Approve or deny materials for the Financial Advisor, Branch Manager, and any other designated individual in the branch or home office.

Ensure that any materials requiring filing with FINRA are submitted for filing promptly.

Help maintain communications with the public files and logs as needed to ensure accurate documentation and availability of information.

What You'll Bring

Ability to receive and understand industry regulations, especially concerning communication with the public.

A comprehensive understanding of FINRA and SEC regulations under 2210 and 482, Stifel policies and procedures, and Firm image requirements.

Knowledge of media production, communication, and dissemination techniques and methods, including alternative ways to inform and entertain via written, oral, and visual media.

Education & Experience

Minimum Required : Bachelor's Degree or High School Diploma with a combination of education and work experience.

Minimum Required : 1+ years of industry or finance experience.

Licenses & Credentials

Minimum Required : FINRA SIE, Series 7, 63, and 24 or ability to obtain within one year from hire.

Systems & Technology

Proficient in Microsoft Excel, Word, PowerPoint, and Outlook.

Knowledge of computer hardware.

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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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