Compliance Analyst II - Employee Outside Activities

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 II - Employee Outside Activities is responsible for providing a supplemental review of outside business activities, private securities transactions, gifts and fiduciary role requests to ensure compliance with firm policies and industry regulations. Using independent judgment, the Analyst II identifies conflicts of interest and risks while applying critical thinking to assess information and make informed determinations. Additionally, the Analyst II assists in the creation and implementation of the firm’s compliance certifications. 

• Review employee outside business activities, private securities transactions, gift disclosures, fiduciary disclosure requests, and employee non-family beneficiary/lending requests to confirm compliance with firm policies. 
• Create, administer, and manage annual, quarterly, and new employee compliance certifications. 
• Update individuals' U4 filings when outside business activities require reporting. 
• Conduct conflict-of-interest checks as requested by the firm.
• Assist in researching and responding to regulatory inquiries from the SEC, FINRA, and MSRB. 
• Prepare spreadsheets, reports, and support special compliance-related projects.
• Collaborate with internal departments to reduce risk and enhance information-gathering for project execution.
• Perform additional duties as assigned by management.

• Extensive knowledge of SEC and FINRA rules/regulations, industry standards, and how they apply to firm policies and procedures.
• Strong understanding of corporate and non-corporate structures, including LLCs, advisory boards, boards of directors, and associated committees.
• Ability to interpret offering documents for private securities transactions and assess investment scope.
• Knowledge of fiduciary roles such as trustees, power of attorney, and executors, including their responsibilities.
• Strong critical thinking skills and problem-solving abilities, with a keen ability to evaluate the advantages and limitations of various solutions, conclusions, and strategies.
• Demonstrated professionalism, integrity, and initiative, with a strong ability to make well-reasoned decisions.
• Excellent verbal and written communication skills, with the ability to collaborate effectively across all levels of the organization.

• Minimum Required: Bachelor's degree or equivalent experience.
• Minimum Required: 5+ years of Finance or related industry experience; 3+ years of Compliance experience.

• Series 7 and 63 Preferred

• Proficient in Microsoft Excel, Word, PowerPoint, 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.