The Advisory Services 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 the staff and oversees their work for completion of assigned duties.
ESSENTIAL DUTIES AND RESPONSIBILITIES
Acts as a liaison between Compliance and business areas on matters relating to the Firm's investment advisory business.
Assist with regulatory filing relating to the Firm's investment advisory business.
Monitors rule changes or regulatory developments relating to investment advisers;
Develops procedures around new and revised regulations, and directs their implementation. Generally assist in the development of Firm policies to address enhancements or other needs. Implements, explains, and enforces compliance and/or regulatory procedures and policies.
Manages daily activities of Analysts to ensure requirements of department are fulfilled, as required by Firm policies or regulatory rules.
Observes the functions of analysts for completion of assigned duties. Trains new staff on the team. Provides feedback as needed and escalation to department Director, as required.
Series 65 required
Bachelor's degree in Business or related field
10+ years' experience in Compliance, Risk or Audit plus 2+ Investment Advisory and leadership experience
Strong knowledge, theories and concepts of Compliance, Risk and Audit methodology, process development, change management and implementation
Knowledge of laws, legal codes, FINRA, government regulations, agency rules including SEC/Exchange rules/regulations, Industry practice and Stifel policies and their application
Current on laws and regulations that affect the organization's policies.
Proficient in the use of Microsoft Office; Word, Excel etc., Thompson/BETA, and the Firm's supervisory tools.