{"id":3114449,"url":"https://alion.io/job/stifel-compliance-analyst-ii-advisory-services","title":"Compliance Analyst II-Advisory Services","company":{"id":692655,"name":"Stifel","domain":"stifel.com","url":"https://alion.io/company/stifel","size_band":"5000+","is_staffing_agency":false,"employer_type":"direct","is_intermediary":false,"listed_via":null,"ats_vendor":"iCIMS","truth_index":{"grade":"A","score":100,"open_postings":3,"ghost_share":0,"stale_share":0,"repost_share":0,"time_to_fill_p50_days":13,"computed_at":"2026-11-14T05:58:10Z"}},"role":"Legal","role_family":"Legal","seniority":"middle","employment_type":null,"work_mode":"on_site","remote_scope":null,"remote_scope_basis":null,"remote_working_hours":null,"hiring_geo_confidence":"structured","locations":["Saint Louis, United States"],"countries":["US"],"hiring_countries":[],"hiring_countries_total":0,"salary":null,"salary_estimate":{"min_usd":79000,"max_usd":192000,"period":"year","method":"role_seniority_country_remote_cell","sample_n":1102},"experience_years_min":null,"visa_sponsorship":false,"relocation_package":false,"has_equity":false,"technologies":[{"name":"Microsoft Excel","optional":false},{"name":"Outlook","optional":false}],"status":"live","first_seen_at":"2026-10-22T21:41:02Z","employer_posted_date":"2026-10-22","last_verified_at":"2026-11-14T19:32:31Z","board_verified":true,"closed_at":null,"days_open":23,"trust":{"level":"ok","repost_count":null,"flags":[],"days_open":23},"description":"Why Stifel\nStifel 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.\nLet’s talk about how you can find your place here at Stifel, where success meets success.\nWhat You'll Be Doing\nThe Compliance Analyst II-Advisory Services assists with developing and analyzing advisory-related compliance issues, procedures, policies, and controls. The Analyst II applies an analytical, process-oriented mindset to recommend enhancements, improve established workflows, and support scalable and sustainable compliance processes.\nWhat We're Looking For\nAssist with issues surrounding regulatory filings completed by the Compliance - Advisory Services unit, including responsibility for collecting and analyzing information, and liaising with other departments and affiliates as needed.\nAssist in developing enhanced oversight procedures and controls around the Firm's advisory programs, including developing oversight reports for the department.\nPerform and document regression testing and data quality control for compliance reports, controls, workflows, and system enhancements; develop test scenarios, validate source-to-output results, reconcile exceptions, and coordinate remediation with business and technology stakeholders.\nHelp oversee the development and maintenance of department standard operating procedures, evaluate existing workflows and legacy processes, identify root causes and opportunities for improvement, and partner with stakeholders to design and implement clearer, more efficient, scalable, and sustainable solutions.\nWork with other internal departments as needed with on-going maintenance issues, including, but not limited to Program Management, Operations, Trading, etc.\nHandle branch inquiries regarding advisory-related policies and procedures. Provide assistance to branch personnel on policies, procedures and relevant regulatory rules.\nWhat You'll Bring\nStrong knowledge and understanding of SEC rules and regulations as well industry procedures.\nKnowledge of the firm's policy and procedures, and specifically, the advisory services and products, as well as applicable regulations.\nAbility to exercise independent thought and handle projects with minimal supervision. Uses logic and reasoning to evaluate the strengths and weaknesses of alternative solutions, conclusions, or approaches and translates analysis into clear, practical process recommendations.\nExperience performing regression testing, data validation, reconciliation, and data quality control, including documenting test results and resolving exceptions.\nEducation & Experience\nMinimum Required: Bachelor’s degree or equivalent combination of education and experience.\nMinimum Required: 5+ years brokerage and/or investment advisory industry experience.\nLicenses & Credentials\nMinimum Required: Series 65 or 66, or the ability to obtain within one year of hire.\nSystems & Technology\nProficient in Microsoft Excel, Word, PowerPoint, Outlook.\nAbout Stifel\nStifel 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.\nWhile 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.\nAt 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.\nStifel is an Equal Opportunity Employer.","description_format":"text","description_chars":4241,"description_truncated":false,"requirements":{"experience_years_min":null,"management_years_min":null,"team_size_min":null,"manages_managers":false,"education":{"level":"bachelor","optional":true},"security_clearance":false,"languages":[]},"benefits":["401k plan","Life insurance"],"hiring_locations":[],"hiring_excludes":[],"relocation_offered":false,"industries":["Wealth Management & Financial Advisors","Investment Banking & M&A Advisory","Online Brokerage & Trading Platforms"],"lifecycle":[{"event":"open","at":"2026-10-22T21:41:02Z"}],"visa":[{"country":"US","licensed_sponsor":true,"adverts_offering_sponsorship_24m":0,"sanctioned_now":false,"evidence":"H-1B filings in 12 months: 12 · green card filings: 1","filings_12m":12,"filings_prev_12m":12,"green_card_filings_12m":1,"median_offered_wage_usd":113269,"route":null,"cap_exempt":false,"checked_at":"2026-11-14T07:33:33+00:00","sources":["US Department of Labor: LCA disclosure data (H-1B, H-1B1, E-3)","US Department of Labor: PERM disclosure data (green cards)"],"filings_for_role_12m":0}],"liveness":{"score":36,"band":"fade","label":"Fading","p_open":1,"p_active":0.794,"p_room":0.45,"age_days":22,"expected_fill_days":13,"reasons":["conf:0","velocity","win:tail","comp:brand"],"computed_at":"2026-11-14T05:58:10Z"},"pay":null,"html_url":"https://alion.io/job/stifel-compliance-analyst-ii-advisory-services","json_url":"https://alion.io/job/stifel-compliance-analyst-ii-advisory-services.json","meta":{"generated_at":"2026-11-15T00:35:03Z","cache_seconds":300,"methodology":"https://alion.io/methodology","terms":"https://alion.io/terms","contact":"https://alion.io/contact","api":"https://alion.io/developers","about":"Alion is a live layer of people, companies and AI agents: who they are, whether they are real and active right now, what they do and how to work with them, readable by people and by agents and paid per call.","catalog":"https://alion.io/catalog.json","usage":{"tier":"crawler_verified","counted_by":"address","units_charged":1,"used_today":1053,"day_limit":null,"remaining_today":null,"minute_limit":300,"resets_at":"2026-11-16T00:00:00Z"}},"offers":[{"id":"company.slices","title":"One company in depth, by slice","status":"live","price":{"credits":0.1,"usd":0.01,"plus_per_slice":{"credits":0.05,"usd":0.005}},"unit":"per company, plus each slice with data","note":"the employer in depth","call":{"mcp_tool":"get_company","arguments":{"id":692655},"rest":"https://alion.io/mcp/rest/get_company?id=692655"},"human":"https://alion.io/catalog?offer=company.slices&for=job%2Fstifel-compliance-analyst-ii-advisory-services"},{"id":"market.stats","title":"A market slice: pay, demand and time to fill","status":"free","price":{"credits":0,"usd":0},"unit":"per slice","note":"pay, demand and time to fill for this role and place","call":{"mcp_tool":"market_stats"},"human":"https://alion.io/catalog?offer=market.stats&for=job%2Fstifel-compliance-analyst-ii-advisory-services"},{"id":"job.search","title":"Open jobs by role, technology, place, pay and visa","status":"live","price":{"credits":0.1,"usd":0.01},"unit":"per posting in a list","note":"similar open postings","call":{"mcp_tool":"search_jobs"},"human":"https://alion.io/catalog?offer=job.search&for=job%2Fstifel-compliance-analyst-ii-advisory-services"},{"id":"company.verify","title":"Is this company real and active right now","status":"pilot","price":null,"unit":"per company","request":{"url":"https://alion.io/catalog/request","method":"POST","body":"{\"offer\": \"company.verify\", \"for\": \"job/stifel-compliance-analyst-ii-advisory-services\", \"note\": \"what you need it for\"}"},"human":"https://alion.io/catalog?offer=company.verify&for=job%2Fstifel-compliance-analyst-ii-advisory-services"}],"agent":{"mcp":"https://alion.io/mcp/jobs","mcp_open":"https://alion.io/mcp/open","next":[{"tool":"get_job","arguments":{"id":3114449}},{"tool":"search_jobs","arguments":{"company":"stifel.com","detail":"compact"}},{"tool":"match_people","arguments":{"job_id":3114449},"note":"people open to offers who fit this vacancy"}],"note":"The same data through MCP tools: https://alion.io/mcp/open needs no sign-in (compact searches, postings, people); https://alion.io/mcp with an Alion account has everything. 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