Compliance Manager-Asset Management

About the role

The Compliance Manager-Asset Management is responsible for the department's daily activities and ensures requirements are fulfilled, as required by Firm policies or regulatory rules. In addition to the management level department duties, the manager trains and advises the staff and oversees their work for completion of assigned duties. The Compliance Manager will report to the Chief Compliance Officer of Asset Management.

Stifel’s asset management affiliates provide investment management and services to institutions and individuals over a variety of asset classes. Our asset management affiliates employ a diverse range of active equity, fixed income, asset allocation, and alternative investment strategies. While backed by the extensive resources of Stifel, these standalone asset managers operate independently, allowing them to focus on their unique individual strengths. Together, with common leadership and shared vision, our asset management affiliates offer investment management that can be tailored to any client need.

Responsibilities

• Observe and manage daily activities of analysts to ensure requirements of business area are fulfilled, as required by Firm policies or regulatory rules.
• Train new staff on the team and provide feedback as needed and escalate to department Director, as required.
• Monitor rule changes or regulatory developments relating to investment advisers.
• Develop procedures around new and revised regulations and direct their implementation.
• Generally assist in the development of Firm