Compliance Analyst – Municipal Sales & Trading
Under general supervision, the Compliance Analyst works closely with the Municipal Compliance team and communicates all regulatory changes to the Municipal Sales and Trading departments.
The Analyst is responsible for implementing the necessary system enhancements to support the changes.
- 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.
- Update the Firm’s Written Supervisory Procedures (WSPs) related to Municipal Sales and Trading based on new rules and regulations and/or process enhancements
- Respond to regulatory inquiries and exams related to Municipal Sales and Trading.
- Perform daily and monthly reviews related to Municipal Mark-Ups, Best Execution, Fair Pricing, Trade Reporting, etc.
- Interact with vendors to evaluate new products and services.
- Complex and non-routine components of the job, has a larger scope of responsibility and acts as a resource person for the Analyst group.
- Bachelor's degree in Finance or related field.
- Minimum 3 years' experience in Municipal Sales and Trading, and or 5 + years experience in the Financial Services Compliance Industry.
- Must obtain Series 7, 63,9,10, 24 or 53, within 1 year of hire.
- Proficient in Microsoft Outlook and Microsoft Suite including but not limited to Word, Excel and PowerPoint.
- The ability to communicate information and ideas in spoken or written form so that others will understand.
- Demonstrates professionalism, integrity, maturity, intellectual curiosity, initiative and good judgment; takes pride of ownership for wins and accountability for losses/mistakes.
- 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 SEC/Exchange rules/regulations, Industry practice and Stifel policies and their application.
914-524-0301 ext 126