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The Compliance Analyst I is responsible for testing policies and procedures for multiple broker-dealer affiliates focusing on (FINRA rule 3120) Supervisory Control Testing. The Compliance Analyst I will enforce the system of supervisory control policies and procedures, test and verify compliance with securities laws and regulation, and create additional or amend supervisory procedures when identified by testing.
The AML Fraud Analyst I researches and analyzes high-risk transactions across all payment channels to identify possible instances of fraud.
The Compliance Analyst III-Anti-Money Laundering (AML) Client Intelligence Unit (CIU) International systematically reviews high-risk clients from a risk-based approach. The AML CIU Analyst conducts surveillance reviews to identify potential suspicious transactional activity. This includes onboarding reviews, Politically Exposed Persons (PEPs) reviews, sanction reviews, negative news/derogatory information reviews, potential Office of Foreign Asset Control (OFAC) match reviews, beneficial ownership reviews, and new foreign account reviews.
The Compliance Analyst I - Global Control Room will ensure that Stifel complies with outside regulatory requirements and internal policies and procedures related to the Firm's institutional compliance program.
