Description
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
- Maintenance of the Firm's watch and restricted lists.
- Review communications with the public from Investment Banking for compliance with regulatory requirements and firm policies.
- Review research reports where the Firm is acting in an investment banking capacity to determine the availability of safe harbors for continued research publication.
- Conduct monitoring and testing relating to investment banking, research, and other information barrier-related policies and procedures.
- Assist in the compilation of required disclosure data for research publications.
- Monitor communications between investment banking and research.
- Complete conflict checks to identify and escalate potential conflicts of interest.
- Ability to work nights and some Sunday evenings.
- Attend firm-sponsored conferences and events as may be necessary.
- Perform other duties as requested.
Qualifications
- Knowledge of Global Research Settlement, specifically permissible communications between investment banking and research.
- Ability to manage multiple priorities in a fast-paced environment.
- Ability to clearly communicate complex requirements.
- Ability to interact with individuals at a variety of levels within the organization in a professional manner.
- Strong written and verbal communication skills.
Education & Experience
- Bachelor's degree in Business, related field, or equivalent experience.
- 4+ years of related compliance experience with a strong knowledge of securities laws and regulations applicable to research and banking conflicts.
Systems & Technology
- Proficient in Microsoft Excel, Word, PowerPoint, and 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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