Summary

The Compliance Director – Institutional Group & Global Control Room will manage a team of compliance professional covering investment banking, equity syndicate, research, regulatory affairs, and other institutional related businesses. The Compliance Director will be responsible for the day to day management of the Institutional Regulatory Affairs Team and the US Control Room. In addition, this role will require that the individual acts as a “player-coach” and will also be completing the analysis for Regulation M and the Research Safe Harbors, completion of conflicts checks, conducting and overseeing the quarterly testing program, reviewing regulatory responses, and assisting with the chaperoning of calls between investment banking and research and providing advice to the various business units, including supervisors. The Compliance Director works closely with other members of the compliance team and business partners throughout the firm, including those with operations outside of the United States and provides leadership and mentorship to other team members.

Essential Duties and Responsibilities

• Manage team members within the US Control Room and Regulatory Affairs
• Proactively identifying and implementing process and policy and procedures changes and enhancements.
• Manage the monitoring and testing relating to investment banking, research and other information barrier related policies and procedures.
• Actively engage with senior business leadership to address regulatory matters relevant to their lines of business.
• Collaborate with other senior members of the Global Compliance Team to help enhance the overall compliance program of the Firm.
• Maintain 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 availability of safe harbors for continued publication of research.
• Work in partnership with Business Leaders to create and execute applicable policy and procedures.
• Develop training modules for business units within the Institutional Group in coordination with the Training Department and business leaders.

Qualifications

• Strong understanding of SEC and FINRA rules/regulations, industry practice and how to apply to the firm’s business model
• Strong understanding of the Global Research Settlement
• Understanding of conflicts of interest inherent to a global investment bank and how to manage and mitigate related issues
• Ability to communicate complex regulatory concepts in a clear and concise manner
• Ability to manage multiple priorities with tight deadlines
• Ability to work nights and some Sunday evenings as we are a 24/6 Global Control Room
• Ability to travel, including on short notice, to facilitate business meetings.
• Experience managing a team of professionals

Education and Experience

• Minimum Required: Bachelor's Degree in related field or equivalent experience
• 10+ years’ experience in Compliance
• SIE and Series 7
• Preferred: Working knowledge of Bloomberg and ThomsonOne
• Proficient in Microsoft Excel, Word, PowerPoint, Outlook

Hiring Minimum: $151,295
Hiring Maximum: $226,942

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.