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Stifel Financial Corp. · 1 month ago

Guideline Monitoring Associate II

US-MO-Saint Louis

Full-time

Onsite

Entry Level

1+ years exp

Stifel Financial Corp. is a global wealth management and investment banking firm committed to innovation and client success. The Guideline Monitoring Associate II will collaborate with various teams to ensure adherence to policies and procedures while managing incidents related to investment products and services.

BankingFinanceFinancial Services

Responsibilities

Reviews and escalates identified incidents daily (T+1) related to the rules and/or parameters for the various products/programs within IP&S

Interacts with Financial Advisors, CSAs, Branch Supervisors, and Central Supervision providing details related to identified incidents

Engages with Program Managers, FAs, CSAs, Branch Supervisors, Central Supervision, Operations, Legal, and Compliance Teams to resolve outstanding rules and/or parameter alerts

Completes ad hoc queries/reviews and any needed clean-up activities

Handles special projects and other duties as assigned

Assist with limiting the Firm's regulatory and reputational risk and reinforcing the Firm's culture of Compliance

Qualification

Wealth Management knowledgeFinancial industry complianceData analysis in ExcelProblem-solving skillsCommunication skillsMicrosoft Office Suite

Required

General understanding of Wealth Management products and services, including but not limited to investment securities, advisory programs, investment strategy and theory, asset allocation, and regulations

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

Considering the implications of all options (benefits, costs, and risk factors) and being able to determine the most appropriate solution

Demonstrates strong written and verbal communication skills with strong attention to detail; able to communicate effectively with all levels of personnel to ensure compliance with policies, regulations, and Program Parameters

Strong problem-solving skills with an ability to think of innovative solutions

Minimum Required: College Degree or equivalent experience in a related field

Minimum Required: 1-3 years of professional experience or an internship working in financial industry compliance, risk, operations, audit, and or control functions

Proficient in Microsoft Office Suite, including Outlook, Word, Excel, and PowerPoint

Preferred

Familiarity with data analysis and reporting in Microsoft Excel, including exposure to Pivot Tables and lookup functions

Benefits

Health

Dental and vision care

401k

Wellness initiatives

Life insurance

Paid time off

Company

Stifel Financial Corp.

Glassdoor3.5

Established in 1890, Stifel, Nicolaus & Company, Incorporated is one of the nation’s premier full-service financial services firms, providing brokerage, trading, investment banking, investment advisory, and related services to individual investors, professional money managers, businesses, and municipalities through more than 400 locations across the U.S.

Founded in 1890

St Louis, Missouri, USA

5001-10000 employees