Compliance Analyst - Insurance Licensing

Why Stifel

Stifel strives for a culture that puts its clients and associates first: a culture where everyone belongs, everyone is welcome, and everyone contributes to the success of our clients, their careers, and the firm as a whole.

Let’s talk about how you can find your place here at Stifel,
where success meets success
.

The Compliance Analyst-Insurance Licensing prepares and processes all insurance-related licensing for the Firm and its licensed individuals. This role includes but is not limited to initial licensing requests, renewal and amended licensing requests, business entity affiliations and terminations, carrier appointments and terminations, reporting background issues to the regulators, assisting and tracking CE and insurance training for the agents, processing address changes, and maintain knowledge of government (local, state, and federal) regulations.

• Process, document, and maintain all producer licensing applications, continuing education, and training requirements for licensed staff.
• Administer appointment applications to obtain carrier appointments and affiliations for producers and support leadership during the onboarding of new carriers and vendors.
• Continuously monitor multiple state agencies for new or revised regulatory requirements to ensure proper compliance with producer licensing.
• Order material and schedule pre-licensing exams and training for all new hires.
• Correspond with state Departments of Insurance and Insurance Carriers as needed.
• Analyze and identify issues and trends for improved processes and controls.
• Develop and track improvement or remediation plans.

• Able to communicate information and ideas in spoken or written form so that others will understand.
• Demonstrates professionalism, integrity, maturity, intellectual curiosity, initiative, and sound judgment; takes pride in ownership of wins and accountability for losses/mistakes.
• Works closely with the Compliance team, producing accurate work promptly.
• Managing one's own time and priorities to ensure the meeting of deadlines.
• Able to use logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions, or approaches to problems.
• Understanding new information's implications for current and future problem-solving and decision-making.
• Working knowledge of laws and/or regulations within the State(s) Departments of Insurance regarding Insurance Licensing.
• Ability to investigate and recognize state laws or regulations violations on Insurance Licensing.

• Minimum
  
  Required:
  
  Bachelor's Degree in a related field.
• Minimum
  
  Required:
  
  3-5 years of experience in the Financial Services Industry or 1-3 years of internal Compliance experience.

• Minimum
  
  Required:
  
  None.

• Proficient in Microsoft Excel, Word, PowerPoint, and Outlook.
• Knowledge of NIPR, SBS, Reg Ed, and SIRCON systems is preferred.

Stifel is 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.