JOB SUMMARY
The Compliance Associate I assists with all administrative activities associated with the content development of new and/or amended policies and procedures, compliance communications and supervisory control testing. The Compliance Associate performs these functions for each of Stifel Financials' U.S. Broker-Dealers.
ESSENTIAL DUTIES AND RESPONSIBILITIES
• Maintain departmental Task List with current information related to all assigned projects
• Performs applicable administrative duties such as preparing various spread sheets and reports and performing or assisting with special projects
• Assist in tracking of policy updates identified through regulatory exam findings and/or Supervisory Control Testing
• Facilitate the upload process for approved policies to the Firm’s third party vendor site
• Assist in reviewing approved policies uploaded to the vendor's site for accuracy prior to publication
• Accurately complete post-publish review of policies uploaded to the vendor’s site
• Monitor department email inbox and respond to policy related questions
• Assist in the development of firm wide communication summarizing monthly policy updates
• Log and organize data from regulatory agencies that may impact broker-dealer and investment advises for review by peers
• Assist in responses to regulatory requests for policies associated with targeted regulatory exams or inquiries by gathering current and archived policies as well as amendments made during the specific timeframe
• Assist in gathering data from several different resources and entering information into department checklists
QUALIFICATIONS
• Ability to work closely with the peers, producing accurate work in a timely manner meeting deadlines as assigned
• Ability to be a self-starter with natural curiosity
• Intense attention to detail
• Ability to manage multiple concurrent projects/tasks
EDUCATION AND EXPERIENCE
• Minimum Required: High School Diploma
• Industry related experience
• Proficient in Microsoft Excel, Word, PowerPoint, Outlook
• Proficient in SharePoint
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.
Stifel is an Equal Opportunity Employer
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