Compliance Analyst II-Institutional Surveillance
Job in
Springfield, Greene County, Missouri, 65897, USA
Listed on 2026-06-06
Listing for:
Stifel Financial Corp.
Full Time
position Listed on 2026-06-06
Job specializations:
-
Finance & Banking
Financial Analyst, Financial Services, Risk Manager/Analyst, Banking Operations
Job Description & How to Apply Below
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.
What We're Looking For- 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.
#J-18808-LjbffrTo View & Apply for jobs on this site that accept applications from your location or country, tap the button below to make a Search.
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).
Search for further Jobs Here:
×