Summary  

A Compliance Project Manager supports the department's goals through effective project planning, tracking, and implementation. This position works primarily with Stifel Financial's domestic Broker Dealers but may help other Compliance divisions or affiliates of Stifel Financial when appropriate.

Essential Duties & Responsibilities

• Initiate, plan, execute, control, and close projects in the department.
• Ability to work independently and in multi-departmental collaboration and multi-task with minimal supervision.
• Demonstrates the ability to take ownership, prioritize appropriately, and propose solutions to solve issues.
• Maintain project trackers and action plans, including interacting with Compliance, Legal, and programming staff to ensure project deliverables are executed promptly.
• Create new or modify existing processes to streamline Firm procedures.
• Evaluate and develop desk procedure documentation for completed projects.
• Encourage collaboration and improve organizational efficiency by facilitating inter-department communication.

Qualifications

• Develop solutions to problems as well as manage multiple issues at the same time.
• Ability to speak and collaborate with various people, such as vendors, management, and other Stifel associates.
• High degree of comfort and fluency with computers and technology and understanding of how technology is applied to business and regulatory problems.
• Knowledge of FINRA, government regulations, agency rules including SEC/Exchange rules/regulations, and Industry practice.
• Ability to effectively communicate solutions to complex problems.
• Ability to think outside the box; imagine innovative, practical solutions and designs

Education & Experience

• Minimum Required: Bachelor's degree in a related field or equivalent work experience
• Minimum Required: 7+ years of compliance experience or related experience in the financial services industry
• Project management experience is preferred

Licenses and Credentials

• Minimum Required: FINRA Series 7 and 66

Systems & Technology

• Knowledge of SQL
• Proficient in Microsoft Excel, Word, PowerPoint, and Outlook

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.