Compliance Analyst II - Product Specialty Group

Description

SUMMARY

Under general direction, the Product Specialty Group - Compliance Analyst II is committed to proactive risk analysis and remediation. To ensure conformity with Firm policies and procedures along with industry regulations, the team utilizes partnerships with various product groups to develop measures for ongoing monitoring of product-related activities at the individual account and/or firm level. Product Specialty Group Analyst uses independent judgement to act in an oversite capacity to identify, escalate and remediate risk based on regulatory rules and Firm policies and procedures. Additionally, the Product Specialty Group will assist in developing applicable policies, procedures and controls, including the adaptation of existing procedures to stay current with the regulatory environment.

ESSENTIAL DUTIES AND RESPONSIBILITIES

* Partner with additional internal departments such as PC&O, Legal and various product groups, to further reduce risk, to gain additional information or knowledge and enhance the execution of projects.
* Perform on-going monitoring and reviews of product related activities at the individual account and/or Firm level, to ensure conformity with Firm policies, procedures and SEC, FINRA, and MSRB regulations.
* The Product Specialty Group Analyst will spend time working on both retail and institutional initiatives to ensure continuity between the groups as they relate to Firm policies and regulatory requirements.
* Develop and expertise in certain product areas and take on product specific functions. (Examples: Fixed Income and Equity based products)
* Recommend solutions to address risk in an effort to protect our clients, employees and the Firm.
* Utilize ad-hoc query tools to mine data for investigations, test Firm policies and create new controls.
* Assist Firm's Regulatory Compliance in researching FINRA, SEC, or MSRB inquiries.
* Performs administrative duties such as preparing various spreadsheets and reports, performing or assisting with special projects, responding to phone calls, etc.
* Works with retail Branch Supervisors and Central Supervision Unit to ensure that the Firm's supervisory responsibilities are met.
* Performs other duties as assigned by Manager.

KNOWLEDGE AND SKILLS

* Computers, Programs and Design - Proficient in Microsoft Outlook and Microsoft Suite including but not limited to Word, Excel and PowerPoint.
* Professional Communication Skills - The ability to communicate information and ideas in spoken or written form so that others will understand.
* Division Knowledge - Industry knowledge, theories and concepts of methodology, knowledge of various investment products, process development, change management and implementation.
* Department Knowledge - Working knowledge of Retail and/or Institutional Brokerage Compliance analysis and reporting. Ability to identify and affect appropriate risk and control mechanisms.
* Personal Characteristics - Demonstrates professionalism, integrity, maturity, intellectual curiosity, initiative and good judgment; possess strong verbal and written communication skills; takes pride of ownership for wins and accountability for losses/mistakes.
* Work Ethic and Attitude - Dedicated to accomplishing goals; willing to take on additional responsibilities to produce outstanding work; is a proven self-starter; strives for excellence; maintains a positive attitude through stressful situations.
* Critical Thinking - Using logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to problems. Understanding the implications of new information for both current and future problem-solving and decision-making.

EDUCATION AND/OR EXPERIENCE

Minimum Required: Bachelor's Degree

Minimum Required: 3-5 years exp. in Retail or Institutional Financial Services Industry.
Desired: 5+ years exp. in Retail or Institutional Financial Services Industry.

Minimum Required: FINRA Series 7 & 63
Desired: FINRA Series 24 and 53 within 1 year of hire

ABOUT STIFEL
Established in 1890, Stifel is one of the nation's leading full-service wealth management and investment banking firms. Stifel serves clients from more than 400 offices across the United States and ranks as the nation's seventh largest full-service investment firm in terms of number of financial advisors. We are also a leading provider of investment banking services to the middle market, a top-ten municipal bond underwriter, and home to one of the industry's largest research franchises. In addition our Stifel Bank subsidiary provides a comprehensive range of banking services.

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.

The health and safety of our employees and candidates is very important to us. We continue to monitor the current public health situation and have adjusted our hiring procedures to include virtual recruiting tools that allow us to continue meeting new candidates. We look forward to "virtually" meeting you.

Stifel is an Equal Opportunity Employer






Category

Financial Examiners


Education

Bachelor's Degree


Job type

Full time

Company
Stifel
Posted
09/01/2021
Salary Range
$38,000.00 - 62,000.00
per Year
Salary range estimated by
Location
Saint Louis, MO 63101, US