Senior Regulatory Compliance Specialist

2 weeks ago

St Louis, Missouri, United States Stifel Full time

Overview

The Principal Compliance Analyst – Regulatory Affairs is responsible for conducting thorough assessments related to regulatory inquiries and examinations. This role involves collecting and verifying data to formulate responses for regulatory requests and examinations. The Principal Compliance Analyst plays a key role in resolving business issues and inquiries that arise from regulatory situations, collaborating closely with various departments across the organization, including senior management and regulatory bodies.

Key Responsibilities

  • Assess and validate data, documents, and information submitted to regulatory authorities, ensuring precise data delivery for inquiries across all business sectors, including requests from regulatory bodies.
  • Serve as the compliance liaison and subject matter expert for regulatory inquiries and examinations, gathering necessary documents, completing questionnaires, and participating in meetings with different departments.
  • Compile relevant documents and draft responses to both routine and complex regulatory inquiries, including comprehensive reviews of the firm’s business practices, policies, and procedures within specified timelines.
  • Collaborate with various departments, including senior management and legal teams, to address issues identified during regulatory examinations, drafting responses and ensuring that deficiencies are rectified.
  • Stay informed on rulemaking and guidance from diverse sources to maintain current knowledge of industry regulations.
  • Conduct compliance-related reviews for various inquiries or projects to determine alignment with the firm’s guidelines.
  • Engage and communicate with regulators and various business units within the organization, including trading desk personnel, bankers, research analysts, financial advisors, branch managers, and legal departments.

Qualifications

  • Strong understanding of SEC, FINRA, MSRB regulations, industry practices, and their application to firm policies and procedures.
  • Exceptional verbal and written communication abilities.
  • Proven organizational skills and meticulous attention to detail.
  • Ability to manage multiple priorities and tasks effectively to meet critical deadlines.
  • Capable of developing and maintaining constructive working relationships over time.
  • Adept at gathering information from research, existing documentation, and subject matter experts, with the ability to clearly explain complex concepts to both technical and non-technical audiences.
  • Strong interpersonal skills and active listening capabilities.

Education & Experience

  • Required: Bachelor’s Degree in a related field or equivalent experience.
  • Required: 7+ years of relevant experience.

Licenses & Credentials

  • Required: Series 7 and 63/66 licenses.
  • Preferred: Series 24 license.

Systems & Technology

  • Proficient in Microsoft Excel, Word, PowerPoint, and Outlook.

About Stifel

Stifel has a rich history of over 130 years, maintaining a start-up mentality. As a global wealth management and investment banking firm, we prioritize innovation and fresh perspectives. Our foundation is built on the principle of safeguarding our clients' assets as if they were our own, a philosophy established by our founder, Herman Stifel. Our success is closely linked to our commitment to assisting families, businesses, and municipalities in achieving their goals.

With headquarters in St. Louis and offices in major cities worldwide, Stifel employs approximately 9,000 individuals who are developing their careers in various roles, including financial advisors, research analysts, project managers, and more. We invite you to explore how you can contribute to our success at Stifel, where achievement meets opportunity.

At Stifel, we provide an entrepreneurial environment and a comprehensive benefits package, including health, dental, and vision care, 401k plans, wellness initiatives, life insurance, and paid time off.

Stifel is an Equal Opportunity Employer.

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