Compliance Analyst II-Institutional Surveillance

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 Compliance Analyst IIInstitutional Surveillance will develop knowledge of institutional compliance. Responsibilities will include working on daily reports, testing existing controls, and assisting in maintenance and tracking project lifecycles. 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 en...