Deputy General Counsel-Regulatory

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.

The Deputy General Counsel-Regulatory will advise Stifel Financial and its affiliates on regulatory, risk, business, governance, and compliance issues. This role will guide regulatory matters, monitor changes in laws and regulations, help develop compliance policies and procedures, and ensure the organization's operations align with applicable laws and regulations. The Deputy General Counsel will also represent the organization in regulatory proceedings and collaborate with internal teams to address legal and compliance concerns.

• Represent and defend the Firm and its employees in a broad range of regulatory matters involving the SEC, FINRA, state securities agencies, the Federal Reserve, and foreign regulators.
• Evaluate and oversee regulatory exams, inquiries, and filings to assess potential risks presented to the Firm and its employees.
• Provide legal oversight, guidance, and impact assessment with respect to existing and proposed rules and regulations.
• Conduct internal reviews and investigations to identify and mitigate regulatory risk.
• Proactively meet with regulators to foster a strong working relationship.
• Supervise and manage outside counsel.
• Provide legal services wherever necessary within the Firm at the discretion of management and the General Counsel.
• Draft, review, and revise compliance policies and procedures to ensure adherence to regulatory requirements and best practices.
• Assist with the preparation and submission of regulatory filings and reports.
• Collaborate with other departments, including Compliance, Product Control Office, and various business units, to address and resolve regulatory issues.
• Develop and deliver training programs for staff on regulatory compliance and best practices.

• Advanced knowledge of the financial services industry, including laws, rules, and regulations impacting broker-dealers, investment advisors, banks, and trust companies.
• General knowledge of the products and services available in the investment industry.
• Proven track record of managing complex regulatory matters and interacting with regulatory agencies.
• Strong analytical, research, and problem-solving skills.
• Excellent communication and interpersonal skills, with the ability to convey complex legal concepts to non-legal professionals.
• Ability to work independently and as part of a team in a fast-paced environment.
• Strong organizational and project management skills with the ability to manage multiple matters simultaneously.

• Minimum Required: JD from an accredited law school with an active bar membership and in good standing.
• Minimum Required: 7+ years of financial services-based legal experience.
• Experience having worked at FINRA, SEC, FRB, or another regulator is preferred.

• Juris Doctorate from an accredited law school with an active bar membership and in good standing.

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

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.