Operations Associate - Equity Settlements Regulatory

Job description

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 . What You'll Be Doing: The Regulatory Operations Associate supports the firm’s regulatory operations function by performing daily regulatory reporting, monitoring, exception review, and documentation tasks to ensure compliance with SEC, FINRA, and other regulatory agency requirements. This role requires developing a foundational understanding of regulatory reporting processes, operational controls, and industry regulations. The Associate works under direct supervision and collaborates with team members to execute department objectives while following established procedures and maintaining a high level of accuracy, timeliness, and attention to detail. What We're Looking For: - Process, create, and enter data into applicable systems to support the firm’s regulatory reporting requirements. - Monitor daily regulatory reporting queues and tasks, escalating irregularit...