Compliance Associate I
3 weeks ago
Summary
The Compliance Associate I assists in administrative functions related to policies, procedures and supervisory control testing for Stifel Nicolaus and other broker-dealer affiliates as required.
Essential Duties and Responsibilities
* Assists with the Policy and Procedure processes.
* Uploads and maintains publishing of completed policies in Wolters Kluwers.
* Organizes and administrates multiple processes for tracking, review, completion and remediation.
* Performs applicable administrative duties such as filing, preparing various spread sheets and reports, performing or assisting with special projects, responding to phone calls, etc.
Qualifications
* The ability to communicate information and ideas in spoken or written form so that others will understand.
* Demonstrates professionalism, maturity, initiative and good judgment; takes pride of ownership for wins and accountability for losses/mistakes.
* The ability to work closely with the Compliance team, producing accurate work in a timely manner meeting deadlines as assigned.
Education and Experience
* High School Diploma
* Experience in Financial Services Industry
* Proficient in Microsoft Excel, Word, PowerPoint, Outlook
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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