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
#WayUp
#LI-MS1
Keywords: Stifel, Baltimore , Compliance Associate I - Surveillance, Other , Baltimore, Maryland
Click
here to apply!
|