Summary

The Compliance Analyst II-Remediation and Verification is responsible for remediating and verifying test results completed by the Supervisory Control Testing Team. Additionally, the Compliance Analyst II will assist in identifying testing topics and creating the testing plan.

Essential Duties & Responsibilities
• Apply FINRA rule 3120, requiring the firm to enforce the system of supervisory control policies and procedures, test and verify compliance with securities laws and regulations, and create additional or amend supervisory procedures where identified by the testing.
• Collaborate and consult with peers, colleagues, managers, directors, or senior management to resolve issues and achieve goals.
• Gather, validate, and analyze data, documents, and information about a determined testing plan and current policies and procedures.
• Follow-up with control owners to ensure remediation is progressing or complete.
• Verify that remediation items are complete by conducting a test on a remediated topic.
• Analyze new rule filings, regulatory updates, and enforcement actions to determine relevance and needed testing.
• Identify and recommend opportunities for process improvement and risk control development.
• Document and report test results to all necessary parties.
• Assist in the review of the SEC Priority Letters and FINRA's Examination and Risk Monitoring Program.
• Maintain departmental Task List with current information related to all assigned projects.
• Assist in training new associates as needed.
• Assist the Supervisory Control Testing Team as needed.
• Will handle mildly complex issues or will escalate them to the higher level analyst.

Qualifications

• Strong knowledge of FINRA, NYSE, MSRB, and SEC Rules.
• Strong research, writing, and communication skills.
• Ability to lead meetings and communicate effectively with all levels of the organization.
• Strong organizational skills with the ability to handle multiple projects/tasks.
• Ability to work independently or in a group setting.
• Ability to be a self-starter with a natural curiosity.

Education & Experience
• Bachelor's degree in a related field. Or equivalent work experience.
• 2 years of financial industry or Compliance experience or 3 years of Stifel experience.

Systems & Technology
• Proficient in Microsoft Excel, Word, PowerPoint, Outlook, and SharePoint.

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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