Compliance Associate I - Surveillance

Company: Stifel
Location: Baltimore
Posted on: January 27, 2023

Job Description:

Summary

The Compliance Associate I will work closely with members of the Compliance team and is responsible for gathering information and documentation for day to day compliance tasks, including administrative tasks.

This position will be located onsite at our St. Louis, MO or Baltimore, MD location.

Essential Duties & Responsibilities

* Maintain log of completed Financial Advisor reviews in master database etc.
* Provide organizational and administrative support for the firms discipline process.
* Perform administrative duties such as preparing various spreadsheets and reports.
* Support department with maintaining various transactional logs and files.
* Maintain and organize electronic data storage.
* May coordinate agenda items for meetings.
* May coordinate departmental meetings.
* May coordinate IT resources for new hires in the department.
* Assist with data retrieval for regulatory & legal matters.
* Assist with special projects.
* Support Department Director and Managers with administrative functions as requested.

Qualifications

* Assist with data retrieval for regulatory & legal matters.
* Assist with special projects.
* Support Department Director and Managers with administrative functions as requested.

Education & Experience

* Minimum Required: Bachelor's Degree or equalivent experience
* Experience in Financial Services Industry

Systems & Technology

* Proficient in Microsoft Excel, Word, PowerPoint, Outlook

About Stifel

Stifel is a more than 130 years old and still thinking like a start-up. We are a global wealth management and investment banking firm serious about innovation and fresh ideas. Built on a simple premise of safeguarding our clients' money as if it were our own, coined by our namesake, Herman Stifel, our success is intimately tied to our commitment to helping families, companies, and municipalities find their own success.

While our headquarters is in St. Louis, we have offices in New York, San Francisco, Baltimore, London, Frankfurt, Toronto, and more than 400 other locations. Stifel is home to approximately 9,000 individuals who are currently building their careers as financial advisors, research analysts, project managers, marketing specialists, developers, bankers, operations associates, among hundreds more. Let's talk about how you can find your place here at Stifel, where success meets success.

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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