What are the responsibilities and job description for the Trust Compliance Analyst position at Stifel?
Summary
The Trust Compliance Analyst ensures compliance and conformance to federal and state regulations and corporate policy for Stifel Trust. This position inspects trust operations and processes to identify improvements.
Essential Duties & Responsibilities
- Assists with administering the trust's Compliance Program.
- Ensures the Bank's adherence, monitoring and implementation of all regulations, including BSA.
- Remains current on changes in regulatory issues and communicates related impacts.
- Maintains and executes compliance testing reports, recommendations and supporting documentation.
- Performs compliance testing to ensure adherence to industry rules and regulations, firm wide policies, and Stifel Trust policies and procedures.
- Monitors follow-up actions in cases where violations were found, and reviews compliance monitoring reports.
- Investigates and prepares responses to customer and regulatory inquiries and complaints.
- Gathers information for regulatory examinations and internal or external audits.
Qualifications
- Basic Knowledge and/or experience in 12 CFR 9, BSA/AML, OFAC and GLBA
- Basic ability to develop and maintain close working relationships with business units and individuals.
- Basic Knowledge of business and management principles involved in strategic planning, resource allocation, production methods, and coordination of resources.
Education & Experience
- Bachelor's Degree or equivalent experience required.
- 1 years' of experience required in bank or trust compliance.
Systems & Technology
- Proficient in Microsoft Excel, Word, PowerPoint, Outlook.
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.
Stifel's bank and trust companies are affirmative action and equal opportunity employers. All candidates will be considered without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, marital status, veteran status, genetic information or any other protected characteristic under applicable law. If you would like more information regarding Equal Employment Opportunity rights and protections, please review the following posters: Equal Employment Opportunity is the Law, EEO Supplement, and Pay Transparency.
Stifel is an Equal Opportunity Employer.
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