Compliance Analyst-Eqty Sales-Trding

1 month ago


Baltimore, United States Stifel Full time

Summary

The Compliance Analyst supports the Firm's Equity Sales and Trading Compliance Department, focusing on equity market making, options, and electronic trading desks.

Essential Duties & Responsibilities

  • Assist in maintaining an effective trading compliance program through monitoring and surveillance of sales and trading activities (reviews consist of best execution, trade reporting, SEC Rule 605/606, and REG NMS, among others).
  • Work directly with the business unit, providing guidance on regulatory rules.
  • Respond to real-time inquiries from traders, salespersons, technology personnel, and trading management.
  • Respond to trading and regulatory inquiries from regulatory bodies. Assist in regulatory examinations.
  • Conduct testing and verification to ensure that trading and compliance monitoring systems comply with regulatory requirements.
  • Assist in preparing policies, procedures, guidelines, and training materials on the above issues.


Qualifications

  • Understanding new information's implications for 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 problem approaches.
  • Able to manage one's own time and priorities to ensure meeting deadlines.

Education & Experience

  • Bachelor's Degree in Business, related field, or equivalent work experience.
  • Financial Industry experience.
  • 1+ years of Compliance experience.
  • Experience in equities and/or options trading, electronic and algorithmic trading, or related experience is preferred.
  • Project Management experience is preferred.

Licensing and Credentials.

  • FINRA SIE or Series 7 and 55/57 is preferred.

Systems & Technology

  • Proficient in Microsoft Excel, Word, PowerPoint, and Outlook.
  • Experience with Bloomberg, Fidessa, or related trading systems is 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.
#LI-MS1


  • Compliance Analyst

    2 weeks ago


    Baltimore, United States Facet Wealth Full time

    About The Role: At Facet Wealth, we put the client above all else. As a Compliance Analyst, you will live out this value by working on a daily basis with the entire Facet team to ensure that we continue to build a work environment where all issues are handled with the highest integrity, we do what is in the best interest of our clients and we ensure that we...

  • Compliance Analyst

    2 weeks ago


    Baltimore, United States Facet Wealth, Inc Full time

    About The Role: At Facet Wealth, we put the client above all else. As a Compliance Analyst, you will live out this value by working on a daily basis with the entire Facet team to ensure that we continue to build a work environment where all issues are handled with the highest integrity, we do what is in the best interest of our clients and we ensure that we...

  • Compliance Analyst

    2 weeks ago


    Baltimore, United States Facet Wealth Full time

    About The Role: At Facet Wealth, we put the client above all else. As a Compliance Analyst, you will live out this value by working on a daily basis with the entire Facet team to ensure that we continue to build a work environment where all issues are handled with the highest integrity, we do what is in the best interest of our clients and we ensure that we...

  • Compliance Analyst

    3 days ago


    Baltimore, United States Facet Wealth Full time

    About The Role: At Facet Wealth, we put the client above all else. As a Compliance Analyst, you will live out this value by working on a daily basis with the entire Facet team to ensure that we continue to build a work environment where all issues are handled with the highest integrity, we do what is in the best interest of our clients and we ensure that we...

  • Compliance Analyst I

    1 month ago


    Baltimore, United States Stifel Full time

    Summary The Municipal Compliance Analyst I is a key member of the Municipal Compliance team responsible for compliance analysis and reporting requirements, including conducting conflict check requests and reviewing and approving political contribution requests and bond ballot contributions for the Firm. Essential Duties & Responsibilities * Supports the...


  • Baltimore, United States Stifel Full time

    Summary The Municipal Compliance Analyst I is a key member of the Municipal Compliance team responsible for compliance analysis and reporting requirements, including conducting conflict check requests and reviewing and approving political contribution requests and bond ballot contributions for the Firm. Essential Duties & Responsibilities * Supports the...


  • Baltimore, Maryland, United States State of Maryland - Maryland Insurance Administration Full time

    IntroductionThe Maryland Insurance Administration (MIA) is\ran independent State agency that regulates Maryland's $46 billion insurance\rindustry and protects consumers by monitoring and enforcing insurers' and\rinsurance professionals' compliance with State law.� Through the diligence\rof a highly professional staff of market analysts, financial...


  • Baltimore, United States State of Maryland Full time

    **Introduction**: **GRADE**: 16 **LOCATION OF POSITION**: Maryland Board of Physicians Compliance/Investigation Unit 4201 Patterson Avenue Baltimore, MD 21215 **Main Purpose of Job**: The mission of the Maryland Board of Physicians is to assure quality health care in Maryland through the efficient licensure and effective discipline of health...


  • Baltimore, United States CareFirst BlueCross BlueShield Full time

    **Resp & Qualifications** **PURPOSE**: The Lead Regulatory Compliance Analyst will conduct independent analysis for the most complicated, high level regulatory inquiries and provide interpretation of regulatory rules and guidelines to demonstrate compliance with state and federal requirements. The incumbent will audit internal controls to identify high risk...

  • Compliance Analyst

    2 weeks ago


    Baltimore, United States CBIZ Full time

    Myers and Stauffer LC is a certified public accounting and health care reimbursement consulting firm, specializing in audit, accounting, data management and consulting services to government-sponsored health care programs (primarily state Medicaid agencies, and the federal Center for Medicare & Medicaid Services). We have 45+ years of experience assisting...

  • Compliance Analyst

    6 days ago


    Baltimore, United States CBIZ Full time

    Myers and Stauffer LC is a certified public accounting and health care reimbursement consulting firm, specializing in audit, accounting, data management and consulting services to government-sponsored health care programs (primarily state Medicaid agencies, and the federal Center for Medicare & Medicaid Services). We have 45+ years of experience assisting...


  • Baltimore, United States Amentum Full time

    **This position is contingent upon contract award** Amentum is seeking a cleared Compliance Analyst to support an upcoming opportunity in Annapolis Junction, MD . Essential Duties: Responsible for providing services to the Compliance Group to ensure the corporation's compliance with relevant laws, executive orders, directions, and regulations governing...


  • Baltimore, United States UMMS Community Impact Grant Program Full time

    Hybrid model consists of 3 days a week in-office, and 2 days from home. Mondays are mandatory in-office at our Linthicum location. First weeks of training are fully on-site. Being among the top 25 employers in the state and recently recognized as America’sBest Large Employer 2021 by Forbes, UMMS brings together a diverse andcollaborative team of innovators...


  • Baltimore, United States University of Maryland, Batlimore Full time

    The Quality Assurance and Compliance Office within the Clinical Research Management Office (CRMO) of the University of Maryland, Baltimore School of Medicine, Marlene and Stewart Greenebaum Comprehensive Cancer Center (UMGCCC) is currently recruiting for a full-time Research QI & Compliance Analyst. Following an extensive training program, the Research QI &...


  • Baltimore, United States Central Garden and Pet Full time

    Description A Sales Analyst is responsible for collecting data, analyzing trends, and informing leadership on their work via accurate, timely and user-friendly reporting. The insights shared by this role will be a key factor in decisions for the organization that impact but are not limited to sales, pricing, and customer interactions. The Sales Analyst needs...

  • Compliance Analyst

    4 weeks ago


    Baltimore, United States binance Full time

    Ability to take on and lead special assignments and projects Take the lead on adhoc QA checks to support the regional teams Identify and propose procedure and process enhancements Work with the team lead and Manager for ongoing assessments, assisting with compliance reviews, and ongoing or ad hoc reviews Work closely with MLRO’s, Account Managers/ VIP and...


  • Baltimore, United States State of Maryland Full time

    **Introduction**: **GRADE**: 14 **LOCATION OF POSITION**: MDH-Board of Physicians Intake Unit 4201 Patterson Avenue Baltimore, MD 21215 **Main Purpose of Job**: The mission of the Maryland Board of Physicians is to assure quality health care in Maryland through the efficient licensure and effective discipline of health providers under its...

  • Compliance Analyst II

    1 month ago


    Baltimore, United States Fidelity National Information Services Inc Full time

    Position Type : Full time Type Of Hire : Experienced (relevant combo of work and education) Education Desired : Bachelor of Business Administration Travel Percentage : 0% Are you ready to unleash your full potential? We're looking for people who are passionate about payments to chart Worldpay's path to being the largest and most-loved payments company in the...


  • Baltimore, United States Johns Hopkins University Full time

    We are seeking a **_Financial Analyst, Endowment/Gift Analyst_** who will monitor and ensures compliance with the gift and endowment process for the Johns Hopkins University School of Medicine. **Specific Duties & Responsibilities** - Coordinates_ - Monitors the gift and endowment process and associated activity. - Ensures expense activities are in...


  • Baltimore, United States Intesa Sanpaolo Group Full time

    Press Tab to Move to Skip to Content Link Select how often (in days) to receive an alert: Create Alert Select how often (in days) to receive an alert: Intesa Sanpaolo is the banking group leader in Italy. Assisting more than 14,6milion of retail customers through a network of 5360branches, it significantly supports the development of Companies and gives an...