Compliance Analyst III - AML Data and Technology

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 Compliance Analyst – AML Technology is responsible for the implementation and maintenance of Stifel’s anti-money laundering (AML) technology. The Analyst serves as a subject matter expert (SME) with respect to the source data, features, and configuration of the firm’s core money laundering surveillance system (NICE Actimize) and works with internal and external stakeholders to implement solutions for implementation, improvement, and efficiency. The analyst also assists with other data-driven projects, including queries, analysis, and automations. 

• Lead or participate in the configuration, implementation, and maintenance of AML compliance systems (primarily NICE Actimize), including data translation and mapping, documentation of business requirements and technical specifications for internal and external systems
• Lead or participate in the testing, tuning, troubleshooting, and validation of AML compliance systems and exception reports.
• Adhere to a roadmap of AML-related system enhancements and coordinate the prioritization of system related projects, to align with business needs and firm and department strategy
• Partner with users and vendors to coordinate configuration of surveillance systems, including AI/machine learning logic, scoring, user workflows, case types, and rule parameters and thresholds
• Clearly document data requirements, business requirements, functional specification, configurations, and user manuals to provide direction to third parties and create useful artifacts for future reference
• Assist with testing, tuning, and efforts to ensure that rule-based and machine learning systems are running effectively yet efficiently 
• Work with internal and external stakeholders to translate and map data from firm systems to surveillance systems and validate results
• Assist with data-driven projects by collecting, normalizing, and analyzing large sets of data from various source systems to enable analytical decisions and solutions
• Develop and maintain internal exception reports
• Perform data queries and analysis
• Seek and implement improvements in efficiency via technology

• Working knowledge of BSA/AML compliance risks relevant to the financial services industry.
• Self-motivated with the ability to work independently or in a team setting while prioritizing concurrent projects and meeting deadlines.
• Ability to effectively communicate to different target audiences, interpret and communicate technical specifications and systems documentation to business users, and clearly communicate system/technology requirements to developers.
• Strong analytical skills with high attention to detail and accuracy.
• Knowledge of principles of project management and business process improvement.
• Ability to integrate extensive data sets from various sources to sort, filter, query, transform, and present a work product to satisfy a business need.
• Willing to take on additional responsibilities to produce outstanding work, strives for excellence, and maintains a positive attitude through stressful situations.
• Demonstrates professionalism, integrity, maturity, intellectual curiosity, initiative, and sound judgment.
• Takes pride in ownership of wins and learns from losses/mistakes.
• Experience with surveillance systems and exception reporting preferred.

• Minimum Required: Bachelor's degree or equivalent industry experience.
• Minimum Required: 5+ years of experience in financial services risk management or technology-related field.
• AML compliance experience is preferred.

• CAMS certification is preferred.

• Proficiency in using Microsoft Office suite with a strong emphasis on Excel.
• Experience with data analysis tools (i.e., Excel, SQL, SharePoint, PowerBI, PowerAutomate, etc.).
• Nice Actimize BSA/AML systems experience is preferred.

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.