What You'll Be DoingThe Compliance Assistant Manager-Advisory Services supports the daily administration and oversight of the Firm's advisory compliance program to ensure requirements of the department are fulfilled, as required by Firm policies and regulatory rules. This position develops, trains, leads, and mentors department associates and their work.
What We're Looking For- Develop and lead analysts through coaching and supporting team culture and dynamics to meet high performance standards.
- Oversee cross training, identify opportunities for process improvement, and lead the implementation of related enhancements.
- Provide support to the department manager for internal procedures, special projects, and other department initiatives.
- Establish relationships with leaders in other business units throughout Compliance and the Firm to influence efficient information flow and feedback on the impacts of process, policy, and product changes.
- Exercise independent judgment and discretion when making decisions or recommendations in relation to each alert/case decision and investigation.
- Conduct quality and accuracy reviews on associates within the department to ensure the associate's review is complying with specific policies and procedures.
- Identify potential gaps in processes and spearhead small projects to implement solutions.
- Assist in writing, maintaining, and auditing policies and procedures specific to department and provide training and guidance to analysts for new functions.
- Work closely with department manager to ensure the workflow is prioritized based on staffing and capacity.
- Assist in monitoring rule changes or regulatory developments.
- Perform and assist with special projects, as needed and other duties as assigned.
What You'll Bring- Industry knowledge on the theories and concepts of methodology, process development, change management, and implementation.
- Working knowledge of Compliance analysis and reporting.
- Ability to identify risk and implement appropriate control mechanisms.
- Strong knowledge of the Investment Advisers Act of 1940, applicable SEC and FINRA requirements, and advisory industry practices.
- Ability to provide input on guidelines for procedures and policies that comply with new and revised regulations and directs their implementation. Implements, explains, and enforces compliance and/or regulatory procedures and policies.
Education & Experience- Minimum Required: Bachelor's Degree or equivalent education and experience.
- Minimum Required: 8+ years of compliance, brokerage, investment advisory, or related financial-services experience.
Licenses & Credentials- Minimum Required: Series 65 or 66, or the ability to obtain within one year of hire.
Systems & Technology- Proficient in Microsoft Excel, Word, PowerPoint, Outlook.
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.
