Regulatory Operations Associate
Why Stifel
Stifel strives for a culture that puts its clients and associates first: a culture where everyone belongs, everyone is welcome, and everyone contributes to the success of our clients, their careers, and the firm as a whole.
Let’s talk about how you can find your place here at Stifel, where success meets success.
What You'll Be Doing
The Regulatory Operations Associate supports the firm’s regulatory operations function by performing daily regulatory reporting, monitoring, exception review, and documentation tasks to ensure compliance with SEC, FINRA, and other regulatory agency requirements. This role requires developing a foundational understanding of regulatory reporting processes, operational controls, and industry regulations. The Associate works under direct supervision and collaborates with team members to execute department objectives while following established procedures and maintaining a high level of accuracy, timeliness, and attention to detail.
What We're Looking For
- Process, create, and enter data into applicable systems to support the firm’s regulatory reporting requirements.
- Monitor daily regulatory reporting queues and tasks, escalating irregularities or potential compliance issues to leadership according to established procedures.
- Assist in maintaining audit-ready documentation to validate process adherence and accuracy.
- Perform routine reconciliations, account balancing, and quality checks to validate completeness and accuracy of regulatory processes.
- Adhere to internal controls, workflow standards, and compliance procedures to ensure consistent and accurate execution of regulatory tasks.
- Coordinate with internal partners and departments to facilitate resolution of potential regulatory issues to ensure adherence.
- Develop strong communication skills to effectively interact within the team and with key stakeholders.
- Provide timely status updates to leadership regarding progress, workload, and any challenges encountered.
- Demonstrate teamwork by collaborating effectively with peers to meet departmental goals.
What You'll Bring
- Demonstrate the ability to attain a general understanding of industry rules/regulations and Stifel policies that pertain to the department.
- Strong attention to detail to minimize risk to the firm.
- Demonstrate initiative, self-direction, and effective organization to meet deadlines.
- Ability to handle large workloads that vary based on heavy volume periods.
- Ability to work autonomously throughout the day based on performance criteria provided by leadership.
Education & Experience
- Minimum Required: Bachelor’s Degree or equivalent combination of education and experience.
- Minimum Required: No experience required; 1+ years of professional business-related experience preferred.
Systems & Technology
- Proficient in Microsoft Office Suite, including Outlook, Word, Excel, and PowerPoint. #LI-AS1
About Stifel
Stifel is 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.