Compliance Analyst III - Municipal Compliance

Summary

The Municipal Compliance Analyst III is responsible for implementing and communicating system enhancements to support change in the Municipal Sales and Trading departments.

Essential Duties & Responsibilities

• Supports the Municipal Sales and Trading departments involving Compliance matters

• Communicate regulatory changes to the Municipal Sales and Trading departments and is responsible for implementing the necessary system enhancements to support these changes

• Works in conjunction with the department director to update the Firm's Written Supervisory Procedures (WSPs) related to Municipal Sales & Trading based on new rules and regulations and/or process enhancements

• Works in conjunction with the department director to respond to regulatory inquiries and exams involving the Municipal Securities Group

• Perform daily and monthly reviews related to sales and trading, including, but not limited to, Mark-Ups, Best Execution, Fair Pricing, etc.

• Interact with vendors to evaluate new products and services and to resolve system issues

• Responsible for staying current with new Firm policies and procedures, as well as industry trends, rules, and regulations that impact the Municipal Securities Group

Qualifications

• Industry knowledge, theories and concepts of methodology, process development, change management and implementation

• Working knowledge of Compliance analysis and reporting. Ability to identify and affect appropriate risk and control mechanisms

• Knowledge of laws, legal codes, government regulations, agency rules including MSRB and SEC/Exchange rules/regulations, Industry practice and Stifel policies and their application

Education & Experience

• Bachelor's Degree or equivalent experience
• 5 + years of Compliance experience

Systems & Technology

• Proficient in Microsoft Excel, Word, PowerPoint, Outlook

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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