What You'll Be Doing
The Compliance Analyst II is responsible for understanding, documenting, creating, and helping to implement various state regulations affecting Stifel's business related to Elder and vulnerable clients. This may include review, work, resolution and reporting of escalated cases dealing with senior investors, review and work of accounts having state reporting or monitoring requirements, development of training, interaction with various departments and branch personnel, research of state & federal law, and development of policies and procedures, metrics and reporting. The Compliance Analyst II will assist in the daily activities of the team to ensure all requirements of department are fulfilled, as required by Firm policies or regulatory rules.
What We're Looking For
- Assist in monitoring rule changes or state & federal regulatory developments relating to brokeragefirms and senior investor protection.
- Monitor, review and as necessary, respond and report escalated or found client, account, broker,branch and firm transactional activity or situational issues. Take appropriate steps as needed toelevate, review, report action.
- Specific reviews and analysis may include: account history reviews, background review, branchinterview, analysis of state regulations, in department report creation and review, discussion andreview with various departments, branches, compliance, and legal.
- Constantly review and evaluate firm's SRCO policies and procedures; maintain awareness of industry trends, legislative changes, regulatory requirements, etc. Keep SRCO team apprised of needs and issues. Suggest, evaluate and implement policy and procedure improvements and changes. Communicate policy/procedure changes to firm.
- Design and review reports that SRCO could use to review target accounts and client activity.
- Follow-up, review, and/or investigate activity and issues escalated to the SRCO team.
- File mandatory state reports, and assist in developing training for the firm.
- Participate in succession planning for SRCO responsibilities. Cross-train designated associateson SRCO functions. Ensure plan is in place to cover prolonged or permanent absence.
- Serve as the firm's SRCO liaison or representative
What You'll Bring
- Exercise independent judgment and discretion when making decisions or recommendations inrelation to case decision and investigation.
- Knowledge of administrative and clerical procedures and systems such as word processing,managing files and records, and other office procedures and terminology.
- Understanding the content, implication and meaning of written work-related documents.
- Understanding the implications of new information for both current and future problem-solving and decision making.
- Ability to handle sensitive information in a confidential and professional manner.
- Ability to use logic and reasoning to identify the strengths and weaknesses of alternativesolutions, conclusions or approaches to problems.
Education & Experience
- Minimum Required: Bachelor's Degree in finance or related field.
- Minimum Required: 3-5 years of Compliance, Brokerage, or banking experience.
Systems & Technology
- Proficient in Microsoft Excel, Word, Outlook, and PowerPoint.
