Chief Compliance Officer - Bank & Trust

Stifel Nicolaus Saint Louis , MO 63150

Posted 3 months ago


The Chief Compliance Officer ("CCO") is the senior leader of compliance-related activities for Stifel's bank and trust entities ("Bank & Trust"). Reports directly to the Enterprise Chief Compliance Officer of Stifel Financial (with dotted line to senior bank management). This position is responsible for overseeing and managing the current compliance function of the Bank & Trust. The CCO contributes to the long range planning of the Bank & Trust as it pertains to ensuring compliance with Federal and State regulations, and that its employees are in compliance with all internal processes and procedures as directed by corporate policy.


  • Provides overall management and direction of the Bank & Trust Compliance Department.

  • Maintains compliance risk management framework that incorporates risk assessment, training, testing and reporting.

  • Inspects and investigates Bank & Trust operations and processes and reports findings and exceptions to the Enterprise Chief Compliance Officer, Executive and Senior Management, the Board of Directors, and the Audit Committee.

  • Manages all aspects of the Bank's Bank Secrecy Act (BSA) compliance.

  • Audits regulatory compliance activities of the Bank & Trust to insure the Firm's compliance with regulatory requirements as described in the bank corporate policy. This includes Mortgage, Commercial, and Retail Banking groups.

  • Oversees Internal Audit reviews.

  • Designs and implements a schedule of training which will incorporate all compliance areas.

  • Oversees the development of Bank & Trust compliance policies and procedures and ensures that the policies are streamlined across the Bank & Trust platform.

  • Reviews bank policy changes for compliance issues prior to final design and implementation.

  • Monitors follow-up actions in cases where violations were found, and reviews compliance monitoring reports.

  • Investigates and responds to customer and regulatory inquiries and complaints.


  • Understands and complies with all regulations, including the Community Reinvestment Act, Bank Secrecy Act, Fair Credit Reporting Act, etc.

  • Understands and complies with industry regulations, including the Fair Credit Reporting Act, Bank Secrecy Act, Truth in Savings, Regulation E and D, the Real Estate Settlement Procedures Act, Truth-in-Lending laws, etc.

  • Enhanced knowledge of the Bank Secrecy Act as well as all other laws, legal codes, court procedures, precedents, government regulations, executive orders, and agency rules that pertain to the banking industry.

  • Expert knowledge of business and management principles involved in strategic planning, resource allocation, production methods, and coordination of resources.

  • Knowledge of economic and accounting principles and practices, banking, and the analysis and reporting of financial data.

  • Ability to consider the relative costs and benefits of potential actions to choose the most appropriate course.

  • Proficient in Microsoft Excel, Word, PowerPoint, Outlook


  • Minimum Required: BA or BS in related field

  • Minimum Required: 7-10 years' in Compliance or related field


  • St. Louis (preferred) or New York (some travel will be required if based in NY)
icon no score

See how you match
to the job

Find your dream job anywhere
with the LiveCareer app.
Mobile App Icon
Download the
LiveCareer app and find
your dream job anywhere
App Store Icon Google Play Icon

Boost your job search productivity with our
free Chrome Extension!

lc_apply_tool GET EXTENSION

Similar Jobs

Want to see jobs matched to your resume? Upload One Now! Remove
Compliance Officer I

Edward Jones

Posted 4 days ago

VIEW JOBS 2/13/2020 12:00:00 AM 2020-05-13T00:00 Opportunity Overview The Compliance Service Department is primarily responsible for providing guidance on general Compliance policies and processes in response to inquiries from branch teams and home office associates, via phones, service requests and other tools or systems. Common support topics include: * Communication with the public: social media, text messaging, sales correspondence, advertising, speaking engagements, FA bios and invitations * Legal support related to fiduciary transactions conducted by POA agents, Custodial Account disbursements and Rule 3210 * Continually tailor solutions to various audiences in a fast-paced autonomous environment while quickly identifying branch needs and providing proper solutions * Maintain strong knowledge of compliance manual policies * Independently identify trends and patterns in contacts from branch and home office associates to develop a plan if follow-up or escalation is required * Identify, educate and communicate potential concerns to branch teams or home office associates * Provide input into training and assist with observation and coaching to CSO * Contribute to team project work * Work in collaboration with internal business areas to identify opportunities for policy revisions in alignment with a culture of compliance * Develop skills for transition to role requiring broader compliance responsibility Position Requirements * Bachelor's degree preferred or equivalent work experience * Required to hold Series 7 and 66 or 63 licenses (or equivalent) * Series 9, 10 and 24 licenses available for development but may be required for advancement opportunities * One to two years of compliance or industry experience preferred Edward Jones Saint Louis MO

Chief Compliance Officer - Bank & Trust

Stifel Nicolaus