Summary

If you are someone that likes to be exposed to many areas of a company and people and like to learn something new on a regular basis, then this job is for you. This is an ever-changing and evolving role. The Operations Control Analyst, under general supervision, will plan and perform operational and regulatory control reviews of various operations departments to evaluate the adequacy and effectiveness of the operations risk management process, system of internal control structure, and the quality of performance in carrying out assigned responsibilities.

Essential Duties & Responsibilities

• Responsible for 17a-5 documentation that includes the identification of risks and controls, evaluating and testing controls, and the attestation process for compliance with 17a-5.
• Executes operational risk-based reviews that could have financial, compliance, and regulatory components.
• Reviews and tests manual and automated processes.
• Collects and analyzes data to identify improvements and efficiencies.
• Prepares detailed reports of findings and recommendations and communicates results to operations senior management.
• Examine and evaluate financial and information systems, document findings, and recommend controls to ensure system reliability and data integrity.
• Examines the systems and processes established by operations to ensure compliance with policies, procedures, laws, and regulations that could significantly impact operations.
• Examines financial and operating information's accuracy, reliability, timeliness, and integrity and the means used to identify, measure, classify, and report such information.
• Performs other reasonably related business duties as assigned.

Qualifications

• Demonstrated understanding of risk and internal control concepts.
• Experience in evaluating the design and operating effectiveness of internal controls.
• Enhanced knowledge of industry rules and regulations.
• Sound writing and verbal communication skills.
• Knowledge of finance and accounting principles and practices, the financial markets, banking, and the analysis of reporting of financial data.
• Ability to use logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions, or problem approaches.
• Ability to maintain confidentiality and consider the relative costs and benefits of potential actions to choose quickly and multi-task.
• Ability to organize, prioritize, and manage multiple tasks, meeting all specific deadlines.
• Build and maintain collaborative relationships with both internal and external clients.

Education & Experience

• Minimum Required: Bachelor's degree in accounting, finance, business administration, or related field or equivalent combination of education and experience.
• Minimum Required: 2+ years of internal audit, accounting and/or regulatory experience.

Licenses & Credentials

• Minimum Required: Commitment to extending technical skills via professional certification and/or licensing (e.g., CPA, CIA, CFE, or CISA; Series 7, 24, 27, or 99).

Systems & Technology

• Proficient in Microsoft Office Suite with knowledge of PowerPoint and Visio.
• Proficient in BETA system and knowledge of Smartsheet.

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 – and 26 years of continual growth – 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.