Compliance Analyst I - Employee Activities and Certifications

Summary

The Employee Activities and Certifications Compliance Associate is responsible for assisting with the creation and execution of the Firm’s numerous employee certifications as well as assisting in the review of employees disclosures as required by firm policy

Essential Duties & Responsibilities

• Assist in the review of employee outside business activities, private securities transactions, gift disclosures, fiduciary disclosure requests, employee non-family beneficiary requests and employee non-family lending requests to ensure they are permissible per firm policy.
• Assist in administering, updating and the required follow-up for annual, quarterly and new employee certifications.
• Update an individual’s U4 in the event the outside business activity is reportable
• Perform conflict checks as requested by the Firm
• Assist the Firm in researching and responding to SEC, FINRA and MSRB regulatory inquiries.
• Perform administrative duties such as preparing various spreadsheets and reports, performing or assisting with special projects, responding to phone calls, etc.
• Partner with additional internal departments to further reduce risk and to gain additional information or knowledge to enhance the execution of projects.

Qualifications

• Dedicated to accomplishing goals; willing to take on additional responsibilities to produce outstanding work; strives for excellence, maintains a positive attitude through challenging situations
• Ability to use logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to problems
• Demonstrates professionalism, integrity, maturity, intellectual curiosity, initiative and good judgement; 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
• The ability to work closely with the Compliance team, producing accurate work in a timely manner, meeting deadlines as assigned.

Education & Experience

• Minimum Required: Bachelor’s Degree or equivalent experience
• 2+ years’ of experience in Compliance Preferred Financial Services Industry

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.

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