Compliance Analyst II - Taxable Fixed Income

Stifel; Pretoria; On-site; USD 65 000 - 90 000; Full time

Job summary

Join a forward-thinking global wealth management firm as a Compliance Analyst II in Taxable Fixed Income. This dynamic role involves gathering regulatory reporting data, compiling reports, and ensuring compliance with fixed income requirements. You'll collaborate with various teams, manage multiple tasks, and utilize your strong analytical and communication skills to support compliance initiatives. Embrace the opportunity to grow within a company that values innovation and offers a comprehensive benefits package, including health care and professional development assistance. If you're ready to make an impact in the financial services industry, this position is perfect for you.

Benefits

Health Insurance

Dental Insurance

Vision Insurance

401k

Paid Time Off

Tuition Assistance

Flexible Spending Accounts

Wellness Initiatives

Discretionary Bonuses

Qualifications

• Bachelor's Degree or equivalent work experience required.
• 5+ years in Financial Services and 2+ years in Compliance preferred.

Responsibilities

• Compile and distribute daily TRACE data for Stifel entities.
• Assist in responding to SEC, FINRA, and MSRB regulatory inquiries.
• Perform periodic reviews and distribute reports to supervisors.

Skills

Analytical Skills

Communication Skills

Organizational Skills

Time Management

Decision-Making

Critical Thinking

Flexibility

Education

Bachelor's Degree

5+ years in Financial Services

2+ years in Compliance

Tools

Microsoft 365

FINRA TRAQs

EQube

Job description

What You'll Be Doing

The Compliance Analyst II–Taxable Fixed Income is member of our Institutional Compliance Team. The position is responsible for gathering regulatory reporting data, compiling daily and other periodic reports, and documenting compliance with fixed income reporting requirements.

What We're Looking For

• Compile and distribute daily TRACE data for all Stifel entities, including daily FINRA TRACE reject reviews, extracting the TRACE files from FINRA Gateway and uploading to EQube, reformatting TRACE files as needed, distributing unmatched trades notification and following up on outstanding unmatched trades, and sending daily late trades and anomalies notifications.
• Prepare and distribute weekly trends notifications.
• Perform periodic reviews of time of execution/VCONs, proper use of trade modifiers and compliance with other reporting requirements, and monthly report cards; distribute to supervisors for their review.
• Assist the Firm in researching and responding to SEC, FINRA, and MSRB regulatory inquiries.
• Perform administrative duties such as preparing various spreadsheets and reports, performing or assisting with special projects, and responding to phone calls and inquiries.
• Support Compliance Director in preparing statistical information for monthly/quarterly reporting to business units.
• Perform reviews promptly, investigate and escalate issues as necessary, and document the resolution and any corrective action taken.
• Perform other duties as assigned by the Compliance Director or Deputy Chief Compliance Officer.

What You'll Bring

• Demonstrates professionalism, integrity, maturity, intellectual curiosity, initiative, and good judgment.
• Excellent verbal and written communication skills. Ability to communicate effectively with individuals at all levels within an organization.
• Takes pride of ownership for successes and accountability for mistakes.
• Strong analytical, organizational, time management, and people skills.
• Ability to manage multiple tasks simultaneously, flexibility, and adaptability to change.
• Strong decision-making and critical thinking skills, ability to use logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions, or problem approaches.
• Able to learn and apply new skills, including but not limited to FINRA TRAQs, EQube and various technology platforms necessary when completing daily responsibilities.

Education & Experience

• Minimum Required: Bachelor's Degree or combination of equivalent work experience and education.
• Minimum Required: 5+ years of experience in the Financial Services industry.
• 2+ years of Compliance experience is preferred.

Systems & Technology

• Proficient in Microsoft 365.

Compensation Range

Salary: USD $65,100.00/Yr. - USD $90,000.00/Yr. Actual salaries may vary, and may be based on several factors, including but not limited to each candidate’s qualifications, skills, and overall competencies for the position. The base salary is one component of Stifel’s overall compensation package for each individual employee. Other benefits and offerings include, but not limited to, discretionary bonuses, health / dental / vision / prescription insurance offerings, Stifel Total Health Connect, flexible spending accounts, tuition & certification assistance programs, paid time off, and much, much more! To view a more comprehensive list of Stifel’s current offerings, please visit https://www.stifel.com/careers/benefits. Applications are accepted until the position is filled.

About Stifel

Stifel is 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.