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Chief Compliance Officer

2 months ago

St Louis, Missouri, United States Stifel Financial Full time
Job Summary

Stifel Financial is seeking a seasoned Chief Compliance Officer to lead and manage the compliance function across our commercial bank and trust entities. Reporting directly to the Enterprise Chief Compliance Officer, the CCO plays a critical role in long-range planning and ensuring compliance with Federal and State regulations, as well as internal policies and procedures.

Key Responsibilities
  • Oversee, develop, train, and retain a high-performing team responsible for maintaining the Banks' framework for compliance risk management.
  • Work closely with senior leaders and other stakeholders across the organization to ensure effective implementation of the Banks' framework for compliance risk management.
  • Establish direction for, oversee, and maintain an effective Bank compliance program for all applicable legal and regulatory requirements.
  • Oversee compliance risk management framework that incorporates risk assessment, training, testing, and reporting.
  • Participate in regulatory and audit exams regarding compliance and lead or oversee corrective action associated with regulatory requirements.
  • Inspect and investigate the Banks' operations and processes and report findings and exceptions.
  • Monitor all aspects of the Banks' Bank Secrecy Act (BSA) compliance.
  • Oversee the Fair Lending program and Fair Lending Officer.
  • Analyze regulatory compliance activities of the Bank to ensure the Firm's compliance with regulatory requirements and the applicable policies.
  • Participate in Internal Audit reviews.
  • Design and implement a schedule of training which will incorporate all compliance areas.
  • Administer the development of the Banks' compliance policies and procedures and ensure that the policies are streamlined across the Banks' platform.
  • Reviews bank policy changes for compliance issues prior to final design and implementation.
  • Monitor follow-up actions in cases where violations may be found, and reviews compliance monitoring reports, as well as customer and regulatory inquiries and complaints.
  • Oversee applicable regulatory compliance communications and examinations.
Requirements
  • Significant experience overseeing, developing, training, and retaining a high-performing team, as well as a strong track-record of advancing future leaders.
  • Strong history with enhancing compliance programs to meet the needs of a heightened regulatory landscape.
  • Experience with building credible relationships with state and federal regulators, including the OCC, FRB, FDIC, and CFPB.
  • Experience developing and delivering a comprehensive compliance program identifying, monitoring, and controlling significant consumer and safety and soundness regulatory risks in a highly-complex, integrated organization.
  • Enhanced knowledge of other laws, legal codes, court procedures, precedents, government regulations, executive orders, and agency rules that pertain to the banking industry.
  • Expert knowledge of business and management principles involved in strategic planning, resource allocation, production methods, and coordination of resources.
  • Significant experience presenting to regulators, Executive and Senior Management, the Board of Directors, and various committees.
  • Knowledge of economic and accounting principles and practices, banking, and the analysis and reporting of financial data.
  • Ability to consider the relative costs and benefits of potential actions to choose the most appropriate course.
Education and Experience
  • Bachelor's degree or equivalent combination of education and experience required.
  • 10+ years of increasing responsibility in bank compliance.
About Stifel Financial

Stifel Financial is a global wealth management and investment banking firm serious about innovation and fresh ideas. We are 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.

We have offices in New York, San Francisco, Baltimore, London, Frankfurt, Toronto, and more than 400 other locations. Stifel Financial 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.

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 Financial is an Equal Opportunity Employer.