The Compliance Associate II in accordance with regulatory requirements and under the direction of management assists in the day to day department activities, resolves more complex issues, and assists with confidential projects.
ESSENTIAL DUTIES AND RESPONSIBILITIES
- Liaises with outside firms to set-up client account data feed/files
- Works closely with IT to manage the resolution of day-to-day data issues, including data feed errors, missing / incomplete feeds, data quality issues and any other ad hoc data issues
- Maintains and reconciles employee outside brokerage account files
- Assists senior members of the team with quarterly testing
- Reviews employee outside brokerage account paper statements
- Other clerical duties to include filing, sorting mail, and writing letters to external firms
- The ability to communicate information and ideas in spoken or written form so that others will understand.
- Demonstrates professionalism, maturity, initiative and good judgment; takes pride of ownership for wins and accountability for losses/mistakes.
- The ability to work closely with the Compliance team, producing accurate work in a timely manner meeting deadlines as assigned.
EDUCATION AND/OR EXPERIENCE
- Minimum Required: High School diploma
- Minimum Required: 1-3 years' experience in Financial Services Industry
LICENSES AND CREDENTIALS
- Minimum Required: None
Established in 1890, Stifel is one of the nation's leading full-service wealth management and investment banking firms. Stifel serves clients from more than 400 offices across the United States and ranks as the nation's seventh largest full-service investment firm in terms of number of financial advisors. We are also a leading provider of investment banking services to the middle market, a top-ten municipal bond underwriter, and home to one of the industry's largest research franchises. In addition our Stifel Bank subsidiary provides a comprehensive range of banking services.
At Stifel we offer an entrepreneurial environment, comprehensive benefits package to include health, dental and vision care, 401k, wellness initiatives, life insurance, and paid time off.
Stifel is an Equal Opportunity Employer
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