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    Compliance Analyst I - Baltimore, United States - Stifel

    Stifel
    Stifel Baltimore, United States

    1 week ago

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    Description
    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 Public Finance department in Compliance matters.
    • Responsible for reviewing and approving meals and entertainment requests, political contribution requests, sponsorship requests, and bond ballot contributions for the Firm.
    • Maintaining the department's data logs of meals & entertainment, political contributions, and sponsorships, ensuring accuracy and consistent completion.
    • Conducts daily conflict check requests for the Public Finance department.
    • Perform monthly deal reviews for municipal offerings.
    • Assists in the implementation and coordination of system enhancements and support as needed.
    • Ensures compliance with government regulations, industry practices, and Stifel policies and procedures regarding the municipal securities industry.
    Qualifications


    • Working knowledge of Compliance analysis and reporting and the ability to identify and affect appropriate risk and control mechanisms.
    • Demonstrates professionalism, integrity, maturity, initiative, and good judgment while taking pride in his wins and being accountable for his losses/mistakes.
    • Ability to produce accurate work in a timely fashion while managing their time and priorities to ensure meeting deadlines.
    • Advanced communication skills with the ability to communicate with all levels of staff and management.
    Education & Experience


    • Bachelor's Degree in Finance or related field.
    • 1+ years of related experience.
    Systems & Technology


    • Proficient in Microsoft Excel, Word, PowerPoint, and Outlook
    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
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