Compliance Analyst II-Institutional Surveillance

What You'll Be Doing

The Compliance Analyst II – Institutional Surveillance will develop knowledge of institutional compliance. Responsibilities include working on daily reports, testing existing controls, and assisting in maintenance and tracking project life cycles.

• Perform reviews promptly, investigate and escalate issues as necessary, and document the resolution and any corrective action taken.
• Utilize ad-hoc query tools to mine data for investigations.
• Assist the Firm in researching and responding to SEC, FINRA, and MSRB regulatory inquiries.
• Perform administrative duties such as preparing various spreadsheets and reports, performing or assisting with special projects, and responding to phone calls and inquiries.
• Partner with additional internal departments to reduce risk and gain additional information or knowledge to enhance project execution.
• Maintain statistics, identify patterns, and contribute to management reports to appropriately escalate significant issues and accomplishments.
• Perform other duties as assigned by the Manager or Director.

• Minimum
  
  Required:
  
  Bachelor's Degree or combination of equivalent work experience and education.
• Minimum
  
  Required:
  
  5+ years of experience in the Financial Services industry.
• 2+ years of Compliance experience is preferred.

• Proficient in Microsoft 365.

Stifel is an Equal Opportunity Employer.