Lead Compliance Analyst

1 week ago


St Louis, Missouri, United States Stifel Full time

Overview

The Principal Compliance Officer – Regulatory Affairs is responsible for executing independent assessments related to regulatory inquiries and examinations. This role involves collecting and verifying data to formulate responses for regulatory and examination requests. The Principal Compliance Officer plays a crucial role in resolving business issues and inquiries that arise from regulatory circumstances across various business and product lines. Collaboration with multiple departments within the organization, including senior management and regulatory bodies, is essential.

Key Responsibilities

  • Assess and validate data, documents, and information submitted to regulatory authorities, ensuring precise data delivery for inquiries from various regulatory bodies.
  • Serve as the compliance liaison and subject matter expert for regulatory inquiries and examinations, gathering necessary documents, completing questionnaires, and participating in interdepartmental meetings.
  • Compile relevant documents and draft responses to both routine and complex regulatory inquiries, ensuring adherence to deadlines.
  • Collaborate with different departments, including senior management and legal advisors, to address issues identified during regulatory examinations. Draft comprehensive responses and follow up to ensure resolution of deficiencies.
  • 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 policies.
  • Engage and communicate with regulators and various business units throughout the organization, including trading desks, financial advisors, and legal departments.

Qualifications

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

Education & Experience

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

Licenses & Credentials

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

Systems & Technology

  • Proficient in Microsoft Office Suite, including Excel, Word, PowerPoint, and Outlook.

About Stifel

Stifel has a rich history of over 130 years, continuously fostering an innovative and entrepreneurial spirit. As a global wealth management and investment banking firm, we prioritize safeguarding our clients' assets while encouraging fresh ideas and innovation. Our success is closely linked to our commitment to assisting families, businesses, and municipalities in achieving their goals.

With a presence in numerous locations worldwide, Stifel is home to approximately 9,000 professionals dedicated to various roles, including financial advisors, research analysts, project managers, and more. We invite you to explore how you can contribute to our mission at Stifel, where success is a shared journey.

At Stifel, we provide a supportive 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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