Compliance Associate I - Branch Activities

Why Stifel

Stifel strives for a culture that puts its clients and associates first: a culture where everyone belongs, everyone is welcome, and everyone contributes to the success of our clients, their careers, and the firm as a whole.

 

Let’s talk about how you can find your place here at Stifel, where success meets success.

What You'll Be Doing

The Compliance Associate - Branch Activities will gather and verify data and/or documentation regarding the day-to-day activities of the assigned branches, including administrative tasks.

What We're Looking For

• Assist with branch examination testing.
• Perform administrative duties such as updating various databases/spreadsheets and preparing reports.
• Maintain and organize electronic data storage of department.
• Assist with data retrieval upon request.
• Answer calls from branch staff and Firm associates regarding Compliance-related questions.
• Assist with special projects or other duties, as assigned.
• Support Director and team with administrative functions, as requested.

What You'll Bring

• Ability to communicate information and ideas in spoken or written form so that others will understand.
• Demonstrate professionalism, maturity, initiative and good judgment; takes pride of ownership for wins and accountability for losses/mistakes.
• Ability to independently plan, manage, and execute workload while continuing to contribute to team goals.
• Ability to work closely with the Compliance team, producing accurate work in a timely manner meeting deadlines as assigned.

Education & Experience

• Minimum Required: High School Diploma
• Minimum Required: 1+ years of professional business-related experience

Licenses & Credentials

• Minimum Required: None

Systems & Technology

• Proficient in Microsoft Office

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.