SUMMARY

Stifel's Compliance department is responsible for ensuring that the firm and its associates conform to all applicable laws, rules, and regulations.

The Compliance Surveillance Intern will represent Stifel by performing a wide variety of administrative duties in support of the Compliance Surveillance area. This position will have the opportunity to observe and/or work in other Compliance areas and develop professionally by contributing to projects that support the Compliance Training Team.

ESSENTIAL DUTIES AND RESPONSIBILITIES

• Learn basic job functions and responsibilities within the Compliance Surveillance Dept.

• Apply academic knowledge and learn new skills by contributing to various projects.

• Research various legal, regulatory, and other topics within Surveillance area and industry

• Assist with administrative duties that support the Surveillance department

• Assist in preparation of reports and audits of internal systems

QUALIFICATIONS

• Learn about various processes and functions within the financial industry and develop professionally by contributing to projects that support the business.

• Knowledge and understanding of asset allocation concepts.

• Ability to communicate effectively in writing as appropriate for the needs of the audience.

• Ability to combine pieces of information to form general rules or conclusions.

• Ability to use logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions, or approaches to problems.

EDUCATION AND/OR EXPERIENCE

• Pursuing Bachelor’s Degree in Business Administration, Finance, Marketing, Communications or related field

SYSTEMS AND TECHNOLOGY

• Proficient in Microsoft Excel, Word, PowerPoint, Outlook

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.