{"id":3044560,"url":"https://alion.io/job/stifel-senior-compliance-analyst-advisory-services","title":"Senior Compliance Analyst-Advisory Services","company":{"id":692655,"name":"Stifel","domain":"stifel.com","url":"https://alion.io/company/stifel","size_band":"501-1000","is_staffing_agency":false,"employer_type":"direct","is_intermediary":false,"listed_via":null,"ats_vendor":"iCIMS","truth_index":null},"role":"Legal","role_family":"Legal","seniority":"senior","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":110000,"max_usd":256000,"period":"year","method":"role_seniority_country_remote_cell","sample_n":2113},"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":"2026-10-21T23:56:42Z","employer_posted_date":"2026-10-21","last_verified_at":"2026-10-28T01:32:21Z","board_verified":true,"closed_at":null,"days_open":6,"trust":{"level":"ok","repost_count":null,"flags":[],"days_open":6},"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 Senior Compliance Analyst-Advisory Services is a key member of the Advisory Services team and has thorough knowledge of Firm policies and procedures, advisory services and products, and applicable regulations. This position works closely with Home Office departments and Stifel branches and requires independent thought, excellent judgment, and the ability to work efficiently with minimal supervision. The Senior Analyst brings an analytical, process-oriented mindset, challenges legacy practices constructively, and leads the development of clearer, more efficient, scalable, and sustainable compliance processes.\nWhat We're Looking For\nAssist with developing enhanced oversight procedures and controls around the Firm's advisory programs, including developing, enhancing, and running regular oversight reports for the department. \nLead or coordinate regression testing and data quality control for compliance reports, controls, workflows, data feeds, and system enhancements; establish test plans and acceptance criteria, validate data lineage and source-to-output results, assess exceptions, and oversee remediation and post-implementation verification. \nOversee the development and maintenance of department standard operating procedures; ensure processes are clearly documented, practical, and consistently applied; evaluate existing workflows and legacy processes; identify root causes and improvement opportunities; and partner with stakeholders to design and implement scalable and sustainable solutions. \nAssist with periodic reviews of the Advisory Compliance Program, including reviews relating to Code of Ethics oversight, reverse churning, journaling assets between accounts, non-eligible assets, books and records retention, etc. \nMonitor rule changes or regulatory developments relating to investment advisers and assist with developing controls to meet such new or modified requirements. \nWork with other internal departments as needed on ongoing maintenance issues, including, but not limited to, Advisory Operations, Operations, Trading, Central Supervision, etc. \nHandle branch inquiries regarding advisory-related policies and procedures. Assist branch personnel with policies, procedures, and relevant regulatory rules. \nOther duties as assigned. \nWhat You'll Bring\nDemonstrated organization skills, strong attention to detail, and the ability to meet deadlines. \nStrong knowledge and understanding of the Advisers Act, the Securities Act, the Securities Exchange Act, ERISA, and other relevant regulations and laws that apply to the Firm and its advisory services. \nThorough knowledge of SEC/FINRA/NYSE rules, regulations, and industry procedures. \nDemonstrated negotiating, conflict management, and decision-making skills, with the ability to deal with all levels of branch and firm associates. \nCommunicate complex compliance issues, policies, and procedures credibly and convincingly. \nAbility to identify, correct, and/or escalate disciplinary issues. \nAbility to use logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions, or approaches to problems and applies that analysis to recommend changes or enhancements to advisory compliance programs, controls, and processes. \nDemonstrated experience leading or independently performing regression testing, data validation, reconciliation, and data quality control, including defining test strategies, assessing material exceptions, and communicating results to stakeholders. \nConsiders the relative costs, benefits, and firm policy of potential actions and chooses the most appropriate action according to Firm and Team risk. \nEducation & Experience\nMinimum Required: Bachelor's degree or equivalent combination of education and experience.\nMinimum Required: 7+ years of brokerage and/or investment advisory industry experience.\nLicenses & Credentials\nMinimum Required: FINRA Series 65 or 66 or ability to obtain within one year of hire. \nSystems & Technology\nProficient in Microsoft Excel, Word, PowerPoint, and 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":5538,"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","Home office","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":"2026-10-21T23:56:42Z"}],"visa":[],"liveness":{"score":89,"band":"hot","label":"Hiring now","p_open":1,"p_active":0.894,"p_room":1,"age_days":5,"expected_fill_days":17,"reasons":["conf:2","velocity","win:early","comp:brand"],"computed_at":"2026-10-27T05:46:45Z"},"pay":null,"html_url":"https://alion.io/job/stifel-senior-compliance-analyst-advisory-services","json_url":"https://alion.io/job/stifel-senior-compliance-analyst-advisory-services.json","meta":{"generated_at":"2026-10-28T02:19:52Z","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":"search","counted_by":"address","units_charged":0,"used_today":0,"day_limit":null,"remaining_today":null,"minute_limit":null,"resets_at":"2026-10-29T00:00:00Z"}},"offers":[{"id":"company.slices","title":"One company in depth, by slice","status":"live","price":{"credits":0.02,"usd":0.002,"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-senior-compliance-analyst-advisory-services"},{"id":"market.stats","title":"A market slice: pay, demand and time to fill","status":"live","price":{"credits":1,"usd":0.1},"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-senior-compliance-analyst-advisory-services"},{"id":"job.search","title":"Open jobs by role, technology, place, pay and visa","status":"live","price":{"credits":0.02,"usd":0.002},"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-senior-compliance-analyst-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-senior-compliance-analyst-advisory-services\", \"note\": \"what you need it for\"}"},"human":"https://alion.io/catalog?offer=company.verify&for=job%2Fstifel-senior-compliance-analyst-advisory-services"}]}