What are the responsibilities and job description for the Compliance Analyst II - Taxable Fixed Income position at Stifel?
What You'll Be Doing:
What You'll Bring:
Education & Experience:
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.
The Compliance Analyst II–Taxable Fixed Income is member of our Institutional Compliance Team. The position is responsible for gathering regulatory reporting data, compiling daily and other periodic reports, and documenting compliance with fixed income reporting requirements.
What We're Looking For:
- Compile and distribute daily TRACE data for all Stifel entities, including daily FINRA TRACE reject reviews, extracting the TRACE files from FINRA Gateway and uploading to EQube, reformatting TRACE files as needed, distributing unmatched trades notification and following up on outstanding unmatched trades, and sending daily late trades and anomalies notifications.
- Prepare and distribute weekly trends notifications.
- Perform periodic reviews of time of execution/VCONs, proper use of trade modifiers and compliance with other reporting requirements, and monthly report cards; distribute to supervisors for their review.
- Assist the Firm in researching and responding to SEC, FINRA, and MSRB regulatory inquiries.
- Perform administrative duties such as preparing various spreadsheets and reports, performing or assisting with special projects, and responding to phone calls and inquiries.
- Support Compliance Director in preparing statistical information for monthly/quarterly reporting to business units.
- Perform reviews promptly, investigate and escalate issues as necessary, and document the resolution and any corrective action taken.
- Perform other duties as assigned by the Compliance Director or Deputy Chief Compliance Officer.
What You'll Bring:
- Demonstrates professionalism, integrity, maturity, intellectual curiosity, initiative, and good judgment.
- Excellent verbal and written communication skills. Ability to communicate effectively with individuals at all levels within an organization.
- Takes pride of ownership for successes and accountability for mistakes.
- Strong analytical, organizational, time management, and people skills.
- Ability to manage multiple tasks simultaneously, flexibility, and adaptability to change.
- Strong decision-making and critical thinking skills, ability to use logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions, or problem approaches.
- Able to learn and apply new skills, including but not limited to FINRA TRAQs, EQube and various technology platforms necessary when completing daily responsibilities.
Education & Experience:
- Minimum Required: Bachelor's Degree or combination of equivalent work experience and education.
- Minimum Required: 5 years of experience in the Financial Services industry.
- 2 years of Compliance experience is preferred.
- Proficient in Microsoft 365.
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.
