Description
Summary
The Senior Compliance Analyst – Regulatory Affairs conducts independent reviews related to regulatory inquiries and examinations. The Senior Compliance Analyst will gather and validate data to draft responses for regulatory and/or examination requests. The Senior Compliance Analyst brings closure to business issues and questions or requests across business and product lines that arise from the regulatory circumstance. The Senior Compliance Analyst works closely with various departments throughout the firm and its subsidiaries, up to and including senior management, as well as with the firm's regulators.
Essential Duties & Responsibilities
- Validate and analyze data, documents, and information delivered to regulatory entities. Ensuring accurate data delivery to the inquiries for all business lines including requests from SEC, FINRA, MSRB, Federal Reserve, NFA or other bank and securities regulatory bodies
- Act as compliance liaison and compliance expert for regulatory inquiries and examinations of the firm and its affiliates. Gather documents, complete questionnaires surrounding the firm's business, attend meetings with various departments.
- Gather applicable documents and draft responses to routine and in-depth regulatory inquiries, including sweeps, regarding the firm's and affiliate's business, policies and/or procedures within stated deadlines.
- Work with other departments, including senior managers and legal counsel, to resolve issues noted in regulatory examinations. Draft responses to regulatory examinations and perform follow-up to ensure deficiencies are corrected.
- Review rulemaking and guidance from a variety of sources to remain current on industry rules.
- Perform compliance-related reviews to various inquiries or projects and determines whether they fall within the firm's guidelines.
- Correspond and interact with regulators and various business units throughout the Firm and its affiliates; including trading desk staff, bankers, research analysts, Financial Advisors, Branch Managers, home office operations and managers and the Legal Department
Qualifications
- Familiarity with SEC, FINRA, MSRB rules/regulations, industry practice and how they apply to Stifel and affiliated firm policies and procedures.
- Excellent verbal and written communication skills
- Demonstrated skills in organization and strong attention to detail.
- Able to manage multiple tasks and varying priorities in order to meet critical deadlines.
- Develop and maintain constructive and cooperative working relationships with others and sustain them over time.
- Able to gather information from research, existing documentation and subject matter experts, and effectively explain complex ideas to technical and non-technical audiences.
- Strong interpersonal and active listening skills.
Education & Experience
- Minimum Required: Bachelor's Degree in related field or equivalent experience
- Minimum Required: 7+ years' related experience
Licenses & Credentials
- Minimum Required: Series 7 and 63/66
- Preferred: Series 24
Systems & Technology
- Proficient in Microsoft Excel, Word, PowerPoint, Outlook
About Stifel
Stifel is a 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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