Stifel Financial Corp. · 4 hours ago
Compliance Analyst - Registration
St Louis, MO
Full-time
Onsite
Entry, Mid Level
2+ years expStifel Financial Corp. is a global wealth management and investment banking firm with a focus on innovation and client success. They are seeking a Registration Compliance Analyst I to prepare and process securities-related registrations, manage compliance with industry regulations, and support various registration-related projects.
BankingFinanceFinancial Services
Responsibilities
Facilitate fingerprinting of all employees; bring any RAPP sheet issues to the attention of the Department Manager
Process Form U4s, U5s, & BRs, and make prompt amendments as applicable to the position
Maintain accurate information in BETA (REGR) and accurate information on NRF Associates, Representatives, Investment Advisors, and current locations
Manage registrations related to new offices, acquisitions, broker/dealer subsidiaries, and affiliated entities
Process jurisdictional applications, renewals, terminations, relicensing, and registration transfers
Perform annual state registration renewals and reconciliation
Review and monitor various forms and reports to provide support and improvement
Ensure compliance with applicable industry rules and regulations
Responsible for other projects assigned by supervisor/manager that are generally complex, difficult, or broad in scope
Qualification
Required
General knowledge and understanding of FINRA, SEC, MSRB, and NYSE regulations
Working knowledge of securities registration requirements for broker/dealers and registered individual requirements
Excellent research, writing, and verbal and written communication skills
Strong attention to detail and ability to manage multiple tasks with competing deadlines
Ability to maintain accurate records and documentation within registration and compliance systems
Ability to manage multiple concurrent projects and prioritize effectively
Minimum Required: Bachelor's Degree or equivalent work experience
Minimum Required: 2+ years of Financial Services industry experience
Proficient in Microsoft Excel, Word, PowerPoint, Outlook
Benefits
Health
Dental and vision care
401k
Wellness initiatives
Life insurance
Paid time off
Company
Stifel Financial Corp.
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.
5001-10000 employees
Funding
Current Stage
Public CompanyTotal Funding
unknown1993-01-08IPO
Leadership Team
Ronald Kruszewski
Chairman and CEO
Anne Perlman
Managing Director, Investment Banking - Stifel
Recent News
2025-11-11
2025-11-11
2025-11-11
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