Job Details
Description
Summary
The Compliance Analyst II-Training & Education works in a team environment with the Compliance Manager and other team members to research and create training materials, manage and troubleshoot problems with the Learning Management System (LMS), and actively coordinate and direct compliance training communications. The Compliance Analyst II is expected to be knowledgeable in industry products and rules and able to provide training across business and product lines.
Essential Duties & Responsibilities
- Participate in developing the Firms training needs analysis and creating the Firms Annual Training plan for Stifel, Century, KBW, and other affiliates.
- Develop and coordinate, in tandem with the team members, the annual Firm Element and Annual Compliance Meeting training courses and other Firm-wide training initiatives.
- Become knowledgeable about and learn the functionality of the Stifel Learning Management System (LMS).
- Work in tandem with other team members to support and maintain the LMS system, including performing annual reconciliation to ensure information integrity.
- Perform analysis of new rule filings or other developments, determinations of relevance, and needed training. Furthermore, be responsible for staying current with new firm policies and procedures and new/updated regulations from FINRA, MSRB, SEC, and other regulatory bodies.
- Create and deliver training material in multiple formats, such as written, electronic, or in-person, to individuals, groups, or the Firm.
- Utilize multiple training development tools and become proficient in uploading content and learning activities to the learning management system.
- Work independently or with other members of Compliance and/or various members of different departments to coordinate the drafting of new or updated materials as required by industry developments or changes in the Firms business practices.
- Work with several business units, including Retail and Institutional Compliance, to determine the trainings content and priorities.
- Translate meeting discussion notes into an internal communication or comprehensive training material.
- Maintain various training databases and perform annual reconciliation of databases to ensure information integrity.
Qualifications
- Strong writing and communication skills as appropriate for the needs of the audience.
- Ability to learn the Firm policies and procedures, along with Stifels line of business
- Strong self-motivation and ability to move projects forward. Must be able to complete projects.
- Must work independently, be detail-oriented, organized, and adapt well to a changing environment.
- Good understanding of SEC and FINRA rules/regulations, industry practices, and how they apply to Firm policies, procedures, and training.
- Able to prioritize and manage time, follow through with all assignments, multiple tasks, and varying priorities to meet deadlines and accomplish goals.
- Able to understand and effectively use the highly evolved conventions of modern technical communications and Industry language.
- Understand written materials in work-related documents such as regulatory notices, legal alerts, and policies and procedures.
- Ability to gather information from research, existing documentation, and subject matter experts and effectively explain complex ideas to technical and non-technical audiences.
- Understand new informations implications for current and future problem-solving and decision-making.
Education & Experience
- Bachelors Degree in English, Education, Communications, Journalism or related field.
- 3+ years of experience in researching, developing, and writing training with cross-divisional impact within a large institution.
- 2+ years of relevant experience working for a regulatory body or in the Compliance department of a financial services firm is preferred.
Licenses & Credentials
- FINRA Series 7, Series 63/66, and Series 9/10 are preferred
Systems & Technology
- Proficient in Microsoft Office Suite.
- Proficient in Training Development Software.
About Stifel
Stifel is a 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.
While 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.
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.
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