COMPLIANCE ANALYST III - CONTROL ROOM CHAPERONE (East Elmhurst)

Stifel in East Elmhurst, NY

  • Industry: Legal - Attorney - Corporate
  • Type: Full Time
  • $165,260.00 - 165,260.00
position filled

SUMMARY

Responsible for the coordination, facilitation and chaperoning of permitted communication between the firm's Investment Banking and Equity and Fixed Income Research personnel. Work to facilitate compliance with and conformance to Global Research Settlement and Firm Policies and Procedures relating to permitted communications between personnel in the Investment Banking and Equity and Fixed Income Research Departments. Some travel required.

ESSENTIAL DUTIES AND RESPONSIBILITIES

  • Responsible for chaperoning of permitted communications between personnel in the investment banking and research personnel employed by Stifel Nicolaus & Co, Keefe Bruyette & Woods, Stifel Nicolaus Europe Limited, Miller Buckfire, and Stifel Bank.
  • Coordinate scheduling with administrative assistance in the various investment banking and equity and fixed income research departments.
  • Log Chaperone Calls in accordance with firm policy.
  • Document and escalate issues in accordance with firm policy.
  • Provide guidance to personnel regarding permitted communications.
  • Attend firm sponsored conferences and events as may be necessary.
  • Perform other duties as requested.

QUALIFICATIONS

  • B.S. or B.A. in Business or related field or equivalent work experience
  • 3+ years of compliance experience with strong knowledge of securities laws and regulations applicable to the research and banking conflicts.
  • Series 7 required
  • Series 24 and 87 desired
  • Working knowledge of Thomson BETA, Fidessa, Bloomberg and FINRA Gateway
  • Desktop computer and standard office machines

KNOWLEDGE & SKILLS

  • Giving full attention to what other people are saying, taking time to understand the points being made, asking questions as appropriate and not interrupting at inappropriate times.
  • Understanding the implications of new information for both current and future problem-solving and decision-making.
  • Communicates effectively in writing as appropriate for the needs of the audience.
  • The ability to combine pieces of information to form general rules or conclusions.
  • Using logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to problems.
  • Considering the relative costs and benefits of potential actions to choose the most appropriate one.
  • The ability to tell when something is wrong or is likely to go wrong. It may or may not involve actually solving the problem.
  • Managing one's own time and priorities to ensure the meeting of deadlines.
  • The ability to communicate information and ideas in spoken or written form so that others will understand.

PHYSICAL EFFORT

  • Required to physically perform the basic functions of reaching, pushing, pulling, lifting, talking, and hearing and perform repetitive motions.
  • Occasionally required to walk and/or sit for extended periods of time.
  • May occasionally lift up to 40 pounds.
  • Must possess visual abilities to perform extended reading and computer work.
  • Some travel by car and/or air in conjunction with local, regional and/or national travel, up to 20%
  • Must be available to work additional hours as needed.

Associated topics: attorney, attorney corporate, company, compliance department, compliance office, corporate attorney, counsel, court, internal, legal

You may be interested in these similar jobs!
Desktop support team lead (Middle Village)
Capital Markets Placement in Middle Village, NY

Desktop support team lead is responsible for a daily oversight of trading floor helpdesk technicians who support front office and corporate users. As…

Read More
Business analyst (Maspeth)
Insomnia Cookies in Maspeth, NY

Insomnia Cookies Insomnia Cookies was founded in a college dorm room in 2003 at the University of Pennsylvania, by then student, Seth Berkowitz and w…

Read More
Compliance analyst - global bank (Far Rockaway)
Sartre Group in Far Rockaway, NY

Principal Duties and Responsibilities Collect compliance-related reporting for board committee meetings and taking an active role in the preparation …

Read More
Logistics manager (Far Rockaway)
Mr. Apparel Group LLC in Far Rockaway, NY

-Logistics Manager Office Organization Production Management Assist President with day to day duties Associated topics: analyst, director, generalist…

Read More
Paid media analytics, senior analyst (Woodhaven)
Analytic Recruiting in Woodhaven, NY

Background : Agency seeks both an Analyst and Senior Analyst of Paid Media analytics to join its Analytics group. Analyst will provide strategic thou…

Read More
Junior market research analyst (Brooklyn)
Qi Venture Partners in Brooklyn, NY

Venture Capital Market Research Analyst Overview: As a Market Research Analyst, you will be responsible for researching specific products, services, …

Read More
Marketing analyst and planner (Saint Albans)
Laufer Group International in Saint Albans, NY

Marketing Analyst and Planner The Marketing Analyst and Planner works with the sales leadership team and the outsourced CMO to execute strategies to …

Read More
Assistant analyst (Bayside)
Syno Capital in Bayside, NY

We are looking to hire an Assistant Analyst to support our firm's operations and investments. Responsibilities of the position include: Support day-t…

Read More
Float pool nurse (Bayside)
West Hills Hospital in Bayside, NY

DescriptionSHIFT: Nights (rotating weekends)SCHEDULE: Full-time West Hills Hospital & Medical Center is a Associated topics: lead, license, licensed …

Read More
CRM marketing analyst (Bellmore)
Frette in Bellmore, NY

Frette is seeking a CRM Analyst to join the Marketing team based in New York. Reporting to the Senior Manager, Global Brand Marketing & Communications

Read More