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Summary
The Compliance Analyst supports the Firm's Equity Sales and Trading Compliance Department, focusing on equity market making, options, and electronic trading desks.
Essential Duties & Responsibilities
- Assist in maintaining an effective trading compliance program through monitoring and surveillance of sales and trading activities (reviews consist of best execution, trade reporting, SEC Rule 605/606, and REG NMS, among others).
- Work directly with the business unit, providing guidance on regulatory rules.
- Respond to real-time inquiries from traders, salespersons, technology personnel, and trading management.
- Respond to trading and regulatory inquiries from regulatory bodies. Assist in regulatory examinations.
- Conduct testing and verification to ensure that trading and compliance monitoring systems comply with regulatory requirements.
- Assist in preparing policies, procedures, guidelines, and training materials on the above issues.
Qualifications
- Understanding new information's implications for current and future problem-solving and decision-making.
- Ability to combine pieces of information to form general rules or conclusions.
- Ability to use logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions, or problem approaches.
- Able to manage one's own time and priorities to ensure meeting deadlines.
Education & Experience
- Bachelor's Degree in Business, related field, or equivalent work experience.
- Financial Industry experience.
- 1+ years of Compliance experience.
- Experience in equities and/or options trading, electronic and algorithmic trading, or related experience is preferred.
- Project Management experience is preferred.
Licensing and Credentials.
- FINRA SIE or Series 7 and 55/57 is preferred.
Systems & Technology
- Proficient in Microsoft Excel, Word, PowerPoint, and Outlook.
- Experience with Bloomberg, Fidessa, or related trading systems is preferred.
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.
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Stifel is committed to providing equal employment opportunities (EEO) to all associates,
applicants for employment, and individuals providing services in the workplace without regard to
actual or perceived race, color, religion, creed, gender, pregnancy (including childbirth, lactation,
child-bearing capacity, sterilization, fertility, past pregnancy condition and the potential or intention
to become pregnant and related medical condition), sexual and reproductive health decisions, sexual
orientation, gender identity and gender expression (including transgender individuals who are
transitioning, have transitions, or are perceived to be transitioning to the gender with which they
identify), national origin, ancestry, age, disability, weight, genetic information, marital status,
citizenship status, familial status, homelessness (i.e., lack of a permanent mailing address or a
mailing address that is a shelter or social services provider), status as a covered veteran or any
other protected criteria in accordance with applicable federal, state and local laws. Stifel complies
with applicable state and local laws governing non-discrimination in employment applicable to
each location in which the Firm operates. Stifel strictly prohibits any form of unlawful
discrimination.
Equal opportunity extends to all aspects of the employment relationship, including hiring,
transfers, promotions, training, termination, working conditions, compensation, benefits, and other
terms and conditions of employment. All Stifel associates are responsible for implementing this
EEO policy in their daily actions, conduct and decisions. All associates are expected to treat each
other with respect and professionalism.
Stifel is an Equal Opportunity Employer.