Compliance Analyst I-Global Control Room Job Listing at Stifel in New York, NY (Job ID 7189)

Description

The Compliance Analyst I - Global Control Room will ensure that Stifel complies with outside regulatory requirements and internal policies and procedures related to the Firm's institutional compliance program.

• Research and resolve compliance issues relating to the Firm's information barriers policies and procedures regarding insider trading and conflicts of interest
• Assist in the preparation of materials for regulatory exams, internal audits, and regulatory inquires.
• Gather, review, prepare, and disseminate the Daily Restricted List
• Review of daily surveillance reports and outside account statements to detect potential violations of firm policy or potential insider trading, escalating to senior members of the team for further guidance.
• Conduct investigations as required to prevent and detect the misuse of material, non-public information
• Assist with quarterly testing for Global Control Room related functions.
• Maintenance and reconciliation of outside account data including daily transaction and holdings files
• Communicate with brokers and/or vendors to establish and troubleshoot electronic monitoring

• Strong written and verbal communication skills.
• Ability to interact with individuals at a variety of levels within the organization in a professional manner.
• Demonstrates skills in organization and strong attention to details.
• Able to prioritize tasks and managing time in order to meet critical deadlines.
• Strong analytical skills focused on using logic and reasoning to identify complex relationships and form conclusions.
• Possesses problem solving skills with sound judgment and reasoning

• Minimum Required: Bachelor's degree in related field or equivalent work experience
• Minimum Required: 1+ years of business experience in the financial industry or other related field.

• Minimum Required: None

• Proficient in Microsoft Excel, Word, PowerPoint, Outlook

Stifel is 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.