Summary

The Compliance Analyst II - Surveillance Solutions develops, implements, and maintains systems used by the Firm for the purposes of Compliance. Additionally, the Surveillance Solutions team is responsible for applying polices to Compliance-related applications. The Compliance Analyst II will be required to work with Compliance stakeholders on various technical related requests.

Essential Duties & Responsibilities

• Subject-matter expert on Compliance systems including eComms/trade surveillance, employee disclosures, etc.
• Work with vendors to enhance Compliance systems; becomes primary contract to said vendors
• Perform on-going validation testing and maintenance for Compliance systems
• Partner with IT and/or external vendors to implement new software, understands technical requirements, and is a contact for technical support
• Assist with SQL data requests, and various technical related requests

Qualifications

• Clear understanding of SEC and FINRA rules/regulations, industry practice, and how they apply to Firm policies and procedures.
• Using logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to problems. Understanding the implications of new information for both current and future problem-solving and decision-making
• Demonstrates professionalism, integrity, maturity, intellectual curiosity, initiative and good judgment; takes pride of ownership for wins and accountability for losses/mistakes.
• Industry knowledge, theories and concepts of methodology, process development, change management and implementation.
• Ability to effectively communicate to different target audiences; can interpret and communicate technical specifications and systems documentation to business users, and clearly communicate system/technology requirements to developers

Education & Experience

• Bachelor's Degree required in Finance, Business, IT/IS or related field
• 3+ years of experience in a related role required.
• Experience providing production and maintenance support for software applications is preferred

Systems & Technology

• Proficient in Microsoft Excel, Word, PowerPoint, and Outlook.
• Familiarity with SQL Management Studio, and execution of SQL queries

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.