Compliance Analyst II-Institutional Surveillance

What You\'ll Be Doing The Compliance Analyst II – Institutional Surveillance will develop knowledge of institutional compliance. Responsibilities include working on daily reports, testing existing controls, and assisting in maintenance and tracking project lifecycles. What We\'re Looking For Perform reviews promptly, investigate and escalate issues as necessary, and document the resolution and any corrective action taken. Utilize ad-hoc query tools to mine data for investigations. Assist the Firm in researching and responding to SEC, FINRA, and MSRB regulatory inquiries. Perform administrative duties such as preparing various spreadsheets and reports, performing or assisting with special projects, and responding to phone calls and inquiries. Partner with additional internal departments to reduce risk and gain additional information or knowledge to enhance project execution. Maintain statistics, identify patterns, and contribute to management reports to appropriately escalate significant issues and accomplishments. Perform other duties as assigned by the Manager or Director. Education & Experience Minimum Required: Bachelor\'s Degree or combination of equivalent work experience and education. Minimum Required: 5+ years of experience in the Financial Services industry. 2+ years of Compliance experience is preferred. Systems & Technology Proficient in Microsoft 365. Stifel is an Equal Opportunity Employer. #J-18808-Ljbffr Stifel Financial Corp.