Senior Investor Protection Analyst II Job Listing at Stifel in Saint Louis, MO (Job ID 9647)

Description

The Compliance Analyst II is responsible for understanding, documenting, creating, and helping to implement various state regulations affecting Stifel's business related to Elder and vulnerable clients. This may include review, work, resolution and reporting of escalated cases dealing with senior investors, review and work of accounts having state reporting or monitoring requirements, development of training, interaction with various departments and branch personnel, research of state & federal law, and development of policies and procedures, metrics and reporting. The Compliance Analyst II will assist in the daily activities of the team to ensure all requirements of department are fulfilled, as required by Firm policies or regulatory rules.

• Assist in monitoring rule changes or state & federal regulatory developments relating to brokerage firms and senior investor protection.
• Monitor, review and as necessary, respond and report escalated or found client, account, broker, branch and firm transactional activity or situational issues. Take appropriate steps as needed to elevate, review, report action.
• Specific reviews and analysis may include: account history reviews, background review, branch interview, analysis of state regulations, in department report creation and review, discussion and review with various departments, branches, compliance, and legal.
• Constantly review and evaluate firm's SRCO policies and procedures; maintain awareness of industry trends, legislative changes, regulatory requirements, etc. Keep SRCO team apprised of needs and issues. Suggest, evaluate and implement policy and procedure improvements and changes. Communicate policy/procedure changes to firm.
• Design and review reports that SRCO could use to review target accounts and client activity.
• Follow-up, review, and/or investigate activity and issues escalated to the SRCO team.
• File mandatory state reports, and assist in developing training for the firm.
• Participate in succession planning for SRCO responsibilities. Cross-train designated associates
  on SRCO functions. Ensure plan is in place to cover prolonged or permanent absence.
• Serve as the firm's SRCO liaison or representative

• Exercise independent judgment and discretion when making decisions or recommendations in relation to case decision and investigation.
• Knowledge of administrative and clerical procedures and systems such as word processing, managing files and records, and other office procedures and terminology.
• Understanding the content, implication and meaning of written work-related documents.
• Understanding the implications of new information for both current and future problem-solving and decision making.
• Ability to handle sensitive information in a confidential and professional manner.
• Ability to use logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to problems.

• Minimum Required: Bachelor's Degree in finance or related field.
• Minimum Required: 3-5 years of Compliance, Brokerage, or banking experience.

• Proficient in Microsoft Excel, Word, Outlook, and PowerPoint.

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.