The Chief Compliance Officer (CCO) is the senior leader of compliance-related activities for Stifel's registered investment advisory entities. The CCO reports directly to the Enterprise Chief Compliance Officer of Stifel Financial and is responsible for overseeing and managing the current compliance function of Advisory Services.
ESSENTIAL DUTIES AND RESPONSIBILITIES
- Provide overall management and direction of Advisory Services. Lead a team of compliance professionals.
- Provide wide-ranging support and guidance to internal partners on issues relating to the Firm's investment advisory programs, and timely resolve complex issues using sound judgement.
- Assist in the implementation of enterprise-level compliance efforts. Collaborate with Advisory Services CCOs and other Compliance Department leaders in overseeing the Firm's compliance program to continually enhance the program as necessary.
- Collaborate on and maintain compliance risk management framework that incorporates risk assessment, training, testing and reporting risk assessment process relating to the Firm's investment advisory services, as well as on the design and implementation of annual testing, periodic monitoring, and review of compliance policies, procedures, and controls consistent with the requirements of Rule 206(4)-7.
- Oversee regulatory filings relating to the investment advisory services, including (but not limited to) Form ADV, Schedule 13F, Form 13G, Form PF, Form PR, and other applicable filings.
- Represent the Advisory Services group in cross functional Firm initiatives- on various oversight groups to evaluate business objectives, regulatory developments and other emerging issues, and propose customized compliance solutions as necessary to execute business initiatives.
- Prepare and present periodic reports, Annual Review Reports to the ECCO, senior management.
- Preferred locations: NYC, Baltimore, or Florham Park, NJ, St. Louis or San Francisco
- Some travel by car and/or air in conjunction with local, regional, and/or national travel, up to 10%.
- Strong knowledge and understanding of the Advisers Act, the Securities Act and the Securities Exchange Act, ERISA, and other relevant regulations and laws that apply to the Firm and its advisory services.
- Ability to quickly acquire knowledge of other regulations and rules that apply to the Firm's overall business.
- Strong communication skills and presence with the ability to speak with impact, influence outcomes; simplify complex topics into actionable recommendations for decision-making.
- Able to perform innovative thinking to solve complex problems with no established precedence while balancing risk, speed, accuracy and embracing pace over perfection.
- The ability to meet or exceed deadlines, prioritize, multi-task, and maintain flexibility in fast-paced, changing environment.
- Must have demonstrated ability to collaborate with individuals across business and/or functional lines on required changes.
EDUCATION AND/OR EXPERIENCE
- Minimum Required: Bachelor's Degree
- Minimum Required: 10+ years' of senior leadership experience in regulatory compliance; 3+ years' management experience with direct supervision
- Minimum Required: Series 7 and 65 within a year of hire
- Proficient in Microsoft Excel, Word, PowerPoint, Outlook
- New York, Baltimore, St. Louis or San Francisco (some travel to each location will be required)
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