Senior Compliance Analyst - Policy & Procedure

Summary

The Sr. Compliance Analyst-Policy & Procedure develops and leads associates with revising, creating, and testing policies and procedures for multiple broker-dealer affiliates. The Sr. Compliance Analyst will exercise independent judgment and discretion when making decisions, focusing on the Firm's Policies and Procedures.

Essential Duties & Responsibilities 

• Ensure compliance with FINRA rules requiring the Firm to enforce the supervisory control policies and procedures, review to verify compliance with securities laws and regulations, and assist with creating additional or amended supervisory procedures where applicable.
• Gather, validate, and analyze data, documents, and information concerning policies and procedures.
• Evaluate existing policies and procedures to identify gaps, inconsistencies, or conflicts and take appropriate action to resolve them.
• Assist in creating compliance communications to distribute policy and procedure information to the Firm when appropriate.
• Coordinate with department manager and director regarding reviews and analysis of new rule filings and other regulatory developments, determining the relevance of regulatory developments to particular parts of the Firm, and tracking and disseminating such developments.
• Participate in discussions around regulatory developments to ensure awareness and help determine whether updates to policies and procedures are required.
• Operate independently or with other members of compliance and/or various members of different departments to assist with the drafting and publication of updated or new policies and procedures as required by regulatory developments or changes in the Firm's business practices; ensure that policies and procedures are updated promptly.

Qualifications  ��         

• Working knowledge of FINRA, SEC, and MSRB Rules.
• Strong research, writing, and communication skills.
• Ability to apply logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions, or problem approaches.
• Ability to use judgment and decision-making skills, including weighing and reviewing potential costs and benefits of actions.
• Ability to collaborate effectively and work cross-functionally with other team members.
• Strong analytical, organizational, and presentation skills.
• Experience identifying patterns, trends, and gaps in related topics and situations.

Education & Experience

• Bachelor's Degree required in a related field
• 7+ years of experience in the Financial Services industry or 5+ years of experience in Stifel Compliance.

Licenses

• FINRA SIE and Series 7.

Systems & Technology

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

About Stifel 

Stifel is a 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.