Job Description

** Compliance Assistant Manager-AML Fraud**

**Job Category****:** COMPLIANCE **Requisition Number****:** COMPL005126 Showing 1 location **Job Details**

**Description**

**Job Summary**

The Compliance Assistant Manager assists in daily activities to ensure requirements of department are fulfilled, as required by Firm policies or regulatory rules. This position trains, leads, and mentors the department associates and their work for completion of assigned duties.

**Essential Duties and Responsibilities**

* Develop and lead analysts, including providing coaching and supporting team culture and dynamics, to meet high performance standards.

* Provide support to the department manager for internal procedures, special projects and other department initiatives.

* Establish relationships with leaders and managers in other business units and support teams, throughout Compliance and the Firm, to influence excellent information flow and feedback on the impacts of process, policy and product changes.

* Exercise excellent independent judgment and discretion when making decisions or recommendations in relation to each alert/case decision and investigation.

* Conduct quality and accuracy reviews on associates within the department to ensure the associate's review is complying with specific policies and procedures.

* Identify potential gaps in processes and spearhead small projects to implement solutions.

* Assist in writing, maintaining, and auditing policies and procedures specific to department and provide training and guidance to analysts for new functions.

* Work closely with department manager to ensure the workflow is prioritized based on staffing and capacity.

* Assist in monitoring rule changes or regulatory developments.

**Qualifications**

* Industry knowledge on the theories and concepts of methodology, process development, change management, and implementation.

* Working knowledge of Compliance analysis and reporting.

* Ability to identify risk and implement appropriate control mechanisms.

* Has a high level understanding of laws, legal codes, government regulations, agency rules including FINRA, SEC, State and Exchange rules/regulations, industry practices, and Stifel policies along with their application.

* Provides input to guidelines for procedures and policies that comply with new and revised regulations and directs their implementation. Implements, explains and enforces compliance and/or regulatory procedures and policies.

* Performs and assists with special projects, as needed and other duties as assigned.

**Education and Experience**

* Minimum Required: Bachelor's Degree

* Minimum Required: 6+ years experience in Compliance

**About Stifel**

Established in 1890, Stifel is one of the nations leading full-service wealth management and investment banking firms. Stifel serves clients from more than 400 offices across the United States and ranks as the nations seventh largest full-service investment firm in terms of number of financial advisors. We are also a leading provider of investment banking services to the middle market, a top-ten municipal bond underwriter, and home to one of the industrys largest research franchises. In addition our Stifel Bank subsidiary provides a comprehensive range of banking services.

At 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.

The health and safety of our employees and candidates is very important to us. We continue to monitor the current public health situation and have adjusted our hiring procedures to include virtual recruiting tools that allow us to continue meeting new candidates. We look forward to virtually meeting you.

Stifel is an Equal Opportunity Employer.

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