Surveillance / Solutions Manager (Compliance Department) - Stifel
Stifel Financial Corp.
Saint Louis, Mo
Monitored, examined, and verified the appropriateness of activity in client accounts. Worked to facilitate the compliance with, and conformance to, Federal, State, and local regulations and ordinances relating to department. Performed ongoing monitoring of client accounts to ensure conformity with Stifel policies, procedures, and regulatory rules. Recommended solutions to questionable practices to ensure compliance with regulations, or to help protect solvency of the branch.Developed, implemented, and managed IT solutions used by the Company for purposes of Compliance. Created automated, technical solutions for processes that were manual and paper-based. Worked with users to understand needs; worked with vendors to understand software functionality; worked with IT to implement software; created a platform to train users; and supported users in everyday use. Worked to understand how the tools will comply with and conform to Federal, State, and local regulations and ordinances relating to Company policies and procedures.
