Guideline Monitoring Associate II

Guideline Monitoring Associate II

Stifel Financial Corp. invites qualified applicants to join our team in the role of Guideline Monitoring Associate II.

The Guideline Monitoring Associate II collaborates with Program Managers, Financial Advisors, Client Services Associates, Branch Supervisors, Central Supervision, Operations, Legal, and Compliance Teams to ensure adherence to Stifel Policies and Procedures and program parameters. Product Control & Oversight (PCO) oversees compliance for investment products within IP&S.

• Reviews and escalates identified incidents daily (T+1) related to the rules and/or parameters for the various products/programs within IP&S.
• Interacts with Financial Advisors, CSAs, Branch Supervisors, and Central Supervision providing details related to identified incidents.
• Engages with Program Managers, FAs, CSAs, Branch Supervisors, Central Supervision, Operations, Legal, and Compliance Teams to resolve outstanding rules and/or parameter alerts.
• Completes ad hoc queries/reviews and any needed clean‑up activities.
• Handles special projects and other duties as assigned.
• Assists with limiting the Firm’s regulatory and reputational risk and reinforcing the Firm’s culture of Compliance.

• General understanding of Wealth Management products and services, including investment securities, advisory programs, strategy, asset allocation, and regulations.
• Ability to use logic and reasoning to identify strengths and weaknesses of alternative solutions.
• Ability to consider the implications of all options (benefits, costs, risk factors) and determine the most appropriate solution.
• Strong written and verbal communication skills with strong attention to detail; ability to communicate effectively with all levels of personnel.
• Strong problem‑solving skills with an ability to devise innovative solutions.
• Familiarity with data analysis and reporting in Microsoft Excel, including Pivot Tables and lookup functions.

• Minimum required:
  College Degree or equivalent experience in a related field.
• Minimum required: 1–3 years of professional experience or an internship in financial industry compliance, risk, operations, audit, or control functions.

• Proficient in Microsoft Office Suite, including Outlook, Word, Excel, and PowerPoint.

Stifel is over 130 years old and maintains a start‑up mentality. As a global wealth‑management and investment‑banking firm, we focus on innovation, safeguarding our clients’ money, and helping families, companies, and municipalities achieve success. Our headquarters are in St. Louis, with offices in New York, San Francisco, Baltimore, London, Frankfurt, Toronto, and more than 400 other locations.

Stifel offers an entrepreneurial environment and a comprehensive benefits package that includes health, dental, vision care, 401(k), wellness initiatives, life insurance, and paid time off.

Stifel is an Equal Opportunity Employer.