Compliance Manager - Asset Management

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 Asset Management Compliance Manager is responsible for the department's daily activities and ensures requirements are fulfilled, as required by Firm policies or regulatory rules. In addition to the management level department duties, the manager trains and advises staff and oversees their work for completion of assigned duties. The Compliance Manager will report to the Chief Compliance Officer of Asset Management. Stifel's Asset Management affiliates provide investment management and services to institutions and individuals over a variety of asset classes.

Our asset management affiliates employ a diverse range of active equity, fixed income, asset allocation, and alternative investment strategies. While backed by the extensive resources of Stifel, these standalone asset managers operate independently, allowing them to focus on their unique individual strengths. Together, with common leadership and shared vision, our asset management affiliates offer investment management that can be tailored to any client need.

What We're Looking For

• Observe and manage daily activities of analysts to ensure requirements of the business area are fulfilled, as required by Firm policies or regulatory rules.
• Train new staff and provide feedback as needed and escalation to the department Director, as required.
• Monitor rule changes or regulatory developments relating to investment advisors.
• Develop procedures around new and revised regulations and direct their implementation.
• Generally assist in the development of Firm policies to address enhancements or other needs.
• Implement, explain, and enforce compliance and/or regulatory procedures and policies.
• Assist with regulatory filing relating to the Firm's investment advisory business.
• Act as a liaison between Compliance and business areas on matters relating to the Firm's investment advisory business.

What You'll Bring

• Demonstrated knowledge and understanding of SEC rules and regulations as well as industry procedures.
• Strong knowledge of advisory services and products as well as applicable regulations.
• The ability to exercise independent thought and handle projects with minimal to no supervision.
• Take an active role in building the department's reputation, managing change, solving problems and making decisions.

Education & Experience

• Minimum Required: Bachelor's Degree in business or related field, or equivalent experience.
• Minimum Required: 10+ years' experience in Compliance, Risk or Audit, with a strong preference for Investment Advisory experience.
• Minimum Required: 2+ years of leadership experience.

Licenses & Credentials

Preferred: IACCP, Series 65, or equivalent compliance certification.

Systems & Technology

Proficient in Microsoft Excel, Word, PowerPoint, Outlook, Advent SS&C trade suite, Broker data feeds, and Bloomberg.

Compensation Range

Salary: USD $115,000.00/Yr. - USD $160,000.00/Yr.