- Professional
- Ufficio in Saint Louis
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 Analyst I works in partnership with the Compliance Manager to create and execute the Firm's Compliance policies and procedures for all Stifel entities.
What We're Looking For:- Gather, review, and analyze employee transactions, requests, and exchanges to ensure they are permissible per Firm policy.
- Review employee fiduciary disclosure requests, beneficiary requests, and lending requests to ensure they are permissible per Firm policy.
- Ensure approval documentation is on file for associates of other FINRA firms who maintain investment accounts with Stifel.
- Establish electronic data feeds with other financial institutions to transmit account activity and holdings in accordance with the contract on file.
- Responsible for staying current with new Firm policies and procedures, as well as industry trends, rules, and regulations.
- Understanding of corporate and non-corporate structure, specifically pertaining to advisory boards, board of directors, and committees associated with these boards.
- Ability to identify and address possible conflicts related to outside business activities.
- Ability to understand the language in offering documents for private securities transactions to determine the scope of the investment.
- Minimum Required: Bachelor's Degree
- Minimum Required: 1-3 years' experience in Compliance
- Proficient in Microsoft Excel, Word, PowerPoint, Outlook
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.
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