Advertising Compliance Senior Analyst Advisory

Stifel strives for a culture that puts its clients and associates first: a culture where everyone belongs, everyone is welcome, and everyone contributes to the success of our clients, their careers, and the firm as a whole. • Reviews investment advisory communications intended to be distributed to members of the public for consistency with SEC regulations, Firm policies and procedures, and Firm image.• Marks and communicates required changes to the materials or offers possible alternative materials, when available, if submitted materials are not approvable.• Answers questions from Stifel's investment advisory affiliates, financial advisors, branch managers, and others pertaining to the submitted materials and required changes, as needed.• Verifies that changes indicated have been made upon resubmission or remarks changes still to be made.• Approves or denies materials for Stifel's investment advisory affiliates, financial advisors, branch managers, and any other designated individual in the branch or home office.• Helps maintain communications through AdTrax as needed to ensure accurate documentation and availability of information.• Actively pursues gaining additional knowledge and licenses to fully respond to material submissions• Interacts regularly with the Asset Management Chief Operating Officer and Stifel's investment advisory affiliates, flagging issues as they arise, to optimize review timeliness. • Minimum Required: Bachelor's Degree in a related field or equivalent experience.• Minimum Required: 5+ years of experience in investment advisory or one year of investment advisory marketing rule experience. About Stifel 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.