Description
Summary
The Compliance Analyst I - Global Control Room will ensure that Stifel complies with outside regulatory requirements and internal policies and procedures related to the Global Control Room, with focus on employee trading and outside accounts.
Essential Duties & Responsibilities
- Reconcile outside brokerage account data, including data relating to electronic feeds
- Assemble and distribute outside brokerage statements for supervisory review
- Review trading of securities placed on the Firm's restricted list and watch list
- Maintain the confidential watch list of potential investment banking transactions
- Gather, review, prepare and disseminate the Daily Restricted List
- Assist with setting up chaperone calls and other meetings
- Review and approve outside brokerage accounts
- Provide assistance to senior members of the team with pulling data for regulatory matters and exams
- Assist with quarterly Control Room testing related to outside accounts and employee trading
Qualifications
- Ability to develop constructive and cooperative working relationships with others; comfortable dealing with associates and clients of all levels.
- Strong logical communication skills with the ability to present information both verbally and electronically
- Ability to combine pieces of information to form general rules or conclusions.
- Strong analytical skills focused on using logic and reasoning to identify complex relationships as well as to research and discuss recommended uses
- Ability to analyze and evaluate projects to determine best approach/methodology to ensure delivery of a quality project.
- Ability to resolve difficult situations using proven problem solving skills, sound judgment and reasoning in order to provide alternative solutions.
Education & Experience
- Bachelor's degree or equivalent work experience
- Experience in the financial industry, compliance or other related field.
Systems & Technology
- Proficient in Microsoft Excel, Word, PowerPoint, Outlook
Salary: $60,600 – 80,700 per year
Actual salaries may vary, and may be based on several factors, including but not limited to each candidate's qualifications, skills, and overall competencies for the position. The base salary is one component of Stifel's overall compensation package for each individual employee. Other benefits and offerings include, but not limited to, discretionary bonuses, health / dental / vision / prescription insurance offerings, Stifel Total Health Connect, flexible spending accounts, tuition & certification assistance programs, paid time off, and much, much more! To view a more comprehensive list of Stifel's current offerings, please visit our Stifel Benefits website.
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 is an Equal Opportunity Employer.
#LI-DL1
Apply on company website
Find Connections via Linkedin
