Compliance Analyst I - Global Control Room

at  Stifel Financial Corp

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.

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.

• 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