SUMMARY

The Regulatory Change Analyst I is responsible for tracking regulations from various regulators, summarizing relevant details and interpretative issues and identifying potential impacts on the firm’s business practices, policies and procedures. The Regulatory Change Analyst performs these functions for each of Stifel Financials' U.S. Broker-dealers.

THIS POSITION WILL BE LOCATED ONSITE IN ST. LOUIS, NEW YORK CITY, BALTIMORE OR SAN FRANCISCO.

ESSENTIAL DUTIES & RESPONSIBILITIES

• Participate in multi-department or Firm-wide projects to assist in the development of policies, procedures and oversight processes

• Collaborate and consult with peers, colleagues, Managers, Directors or Senior Management to resolve issues and achieve goals

• Maintain departmental Task List with current information related to all assigned projects

• Participate in industry-wide conference calls related to regulatory rule changes and/or industry trends

• Monitor regulatory agencies that impact broker-dealer and investment adviser for regulatory changes and guidance

• Coordinate with subject matter experts in various lines of business to facilitate additional analysis and confirm impacts to the firm

• Assist with the initial regulatory impact assessment on amended and new regulations by reviewing regulatory notices, policy vendor suggested language and competitor firm enforcement actions

• Assist in communicating impactful regulations and emerging regulatory patterns across the firm through reporting and presentations

• Assist in the reporting of findings, identification and recommendation opportunities for process improvement and risk control development

• Participate in industry wide discussions related to regulatory change

• Monitor department email inbox and respond to policy related questions

• Assist in responses to regulatory requests for policies associated with targeted regulatory exams or inquiries by gathering current and archived policies as well as amendments made during the specific timeframe

QUALIFICATIONS

• General knowledge of FINRA, SEC, MSRB and NFA/CFTC Rules

• Strong research, writing and communication skills

• Ability to be a self-starter with natural curiosity

• Intense attention to detail

• Ability to manage multiple concurrent projects/tasks

EDUCATION & EXPERIENCE

• Minimum Required: Bachelor’s degree in related field or equivalent experience

• Industry/Compliance experience or 5+ years Stifel experience

SYSTEMS & TECHNOLOGY

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

Stifel is a 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 – and 26 years of continual growth – 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.