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The Compliance Analyst II is responsible for understanding, documenting, creating, and helping to implement various state regulations affecting Stifel's business related to Elder and vulnerable clients. This may include review, work, resolution and reporting of escalated cases dealing with senior investors, review and work of accounts having state reporting or monitoring requirements, development of training, interaction with various departments and branch personnel, research of state & federal law, and development of policies and procedures, metrics and reporting. The Compliance Analyst II will assist in the daily activities of the team to ensure all requirements of department are fulfilled, as required by Firm policies or regulatory rules.
