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Stifel Financial Corp. · 8 hours ago

Compliance Analyst - Insurance Licensing

St Louis, MO

Full-time

Onsite

Mid Level

3+ years exp

Stifel Financial Corp. is a global wealth management and investment banking firm dedicated to innovation and client success. The Compliance Analyst - Insurance Licensing prepares and processes all insurance-related licensing for the firm and its licensed individuals, ensuring compliance with regulatory requirements and managing licensing applications and training.

BankingFinanceFinancial Services

Responsibilities

Process, document, and maintain all producer licensing applications, continuing education, and training requirements for licensed staff

Administer appointment applications to obtain carrier appointments and affiliations for producers and support leadership during the onboarding of new carriers and vendors

Continuously monitor multiple state agencies for new or revised regulatory requirements to ensure proper compliance with producer licensing

Order material and schedule pre-licensing exams and training for all new hires

Correspond with state Departments of Insurance and Insurance Carriers as needed

Analyze and identify issues and trends for improved processes and controls

Develop and track improvement or remediation plans

Qualification

Insurance LicensingRegulatory ComplianceMicrosoft ExcelMicrosoft WordMicrosoft PowerPointMicrosoft OutlookNIPRSBSRegEdSIRCONProfessionalismCommunicationProblem SolvingTime Management

Required

Able to communicate information and ideas in spoken or written form so that others will understand

Demonstrates professionalism, integrity, maturity, intellectual curiosity, initiative, and sound judgment; takes pride in ownership of wins and accountability for losses/mistakes

Works closely with the Compliance team, producing accurate work promptly

Managing one's own time and priorities to ensure the meeting of deadlines

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

Understanding new information's implications for current and future problem-solving and decision-making

Working knowledge of laws and/or regulations within the State(s) Departments of Insurance regarding Insurance Licensing

Ability to investigate and recognize state laws or regulations violations on Insurance Licensing

Minimum Required: Bachelor's Degree in a related field

Minimum Required: 3-5 years of experience in the Financial Services Industry or 1-3 years of internal Compliance experience

Minimum Required: None

Proficient in Microsoft Excel, Word, PowerPoint, and Outlook

Preferred

Knowledge of NIPR, SBS, RegEd, and SIRCON systems is preferred

Benefits

Health, dental and vision care

401k

Wellness initiatives

Life insurance

Paid time off

Company

Stifel Financial Corp.

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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