Summary
The Compliance Analyst III - Global Control Room will partner with other members of the team to support the Firm's Information Barrier Program and provide regulatory guidance to key business partners, including, but not limited to, investment banking and research. The Analyst III will be responsible for the analysis of Regulation M and the Research Safe Harbors, completion of conflict checks, conducting quarterly testing, assisting with the chaperoning of calls between investment banking and research, and providing advice to employees regarding the Firm's policies and procedures relevant to Information Barriers and other Control Room related matters. The Analyst III is knowledgeable in the Firm and industry policies/procedures and knows the role and responsibilities of a Global Control Room and the Global Research Settlement. The role brings closure to business issues, questions, or requests across business and product lines that arise from regulatory circumstances. The Analyst III works closely with other compliance team members and business partners throughout the Firm, including those with operations outside of the United States.
Essential Duties & Responsibilities
Qualifications
Education & Experience
Systems & Technology
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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