Job Summary

The Compliance Analyst III supports the Firm’s Equity Trading Compliance Department focusing on the Electronic Trading Desk. Position requires comprehensive knowledge of FINRA/NYSE/Nasdaq/CBOE and other exchanges and SEC rules

Essential Duties and Responsibilities

• Responsible for maintaining an effective electronic and algorithmic trading compliance program through monitoring and surveillance of sales and trading activities (reviews consist of best execution, short sale, trade reporting, TRF reporting, 605/606, REG NMS, CAT, among others).
• Work directly with the business unit providing guidance on regulatory rules.
• Respond to real-time inquiries from traders, sales persons, technology personnel and trading management.
• Respond to trading and regulatory inquiries from FINRA and other regulatory bodies. Also, assist in regulatory examinations.
• Conduct testing and verification to ensure trading systems are in compliance with regulatory requirements.
• Proactively keep Sales and Trading Departments ahead of the changing regulatory environment.
• Assist in preparation of policies, procedures, guidelines, and training materials on all of the above issues.

Qualifications

• Working knowledge of Fidessa, BETA, Bloomberg, and Microsoft applications.
• Understanding the implications of new information for both current and future problem-solving and decision-making.
• Ability to combine pieces of information to form general rules or conclusions.
• Ability to use logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to problems.
• Managing one’s own time and priorities to ensure the meeting of deadlines.

Education and experience

• Bachelor's Degree in Business or related field
• 5+ years of Equities Trading Compliance, electronic and algorithmic trading compliance experience preferred
• Project Management experience a plus

Licenses and Credentials

• Series 7, 63, 55/57 preferred

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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