Description
Summary
The Compliance Associate II maintains the Compliance Data Feed and eQuest (internal workflow application) compliance request processes. The Compliance Associate will support Compliance Project Management by testing, providing feedback, and facilitating the day-to-day tasks associated with managing a workflow.
Essential Duties & Responsibilities
- Review requests to establish an account data feed with an external party and utilize a workflow to fulfill the requests.
- Review requests to open new accounts for individuals subject to FINRA Rule 3210 (“Accounts at Other Broker-Dealers and Financial Institutions”) to verify that appropriate documentation is maintained.
- Engage with areas outside of Compliance to make requests and gather necessary information to facilitate workflow tasks.
- Periodically self-audit assigned workflows to validate that required documentation is retained.
- Draft documents used to facilitate adding new external parties to the Firm's list of established data feeds.
- Work with IT to add or remove external parties to the Firm's list of established data feeds.
- Assist with ad hoc requests made by Compliance Project Management.
Qualifications
- Strong verbal and written communication skills.
- Ability to interact with individuals at a variety of levels within and outside of the organization in a professional manner.
- Demonstrates skills in organization, strong attention to detail, prioritizing and managing time, multiple tasks, and varying priorities to meet critical deadlines
- Able to use logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions, or approaches to problems while understanding the implications of new information for both current and future problem-solving and decision-making.
- Demonstrates professionalism, integrity, maturity, intellectual curiosity, initiative, and sound judgment; takes pride in ownership of wins and accountability for losses/mistakes.
Education & Experience
- Bachelor's Degree or a combination of work experience and education.
- 2+ years experience in the Financial Services Industry or equivalent experience.
Systems & Technology
- Proficient in Microsoft Excel, Word, PowerPoint, and Outlook.
- Familiarity with internal Stifel programs (i.e., eQuest, Beta, Thomson One).
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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