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Institutional Regulatory Officer
New York, NY / Baltimore, MD / St. Louis, MO
Job Description
DescriptionQualifications
Education
Licenses & Certifications
Stifel is committed to providing equal employment opportunities (EEO) to all associates,
applicants for employment, and individuals providing services in the workplace without regard to
actual or perceived race, color, religion, creed, gender, pregnancy (including childbirth, lactation,
child-bearing capacity, sterilization, fertility, past pregnancy condition and the potential or intention
to become pregnant and related medical condition), sexual and reproductive health decisions, sexual
orientation, gender identity and gender expression (including transgender individuals who are
transitioning, have transitions, or are perceived to be transitioning to the gender with which they
identify), national origin, ancestry, age, disability, weight, genetic information, marital status,
citizenship status, familial status, homelessness (i.e., lack of a permanent mailing address or a
mailing address that is a shelter or social services provider), status as a covered veteran or any
other protected criteria in accordance with applicable federal, state and local laws. Stifel complies
with applicable state and local laws governing non-discrimination in employment applicable to
each location in which the Firm operates. Stifel strictly prohibits any form of unlawful
discrimination.
Equal opportunity extends to all aspects of the employment relationship, including hiring,
transfers, promotions, training, termination, working conditions, compensation, benefits, and other
terms and conditions of employment. All Stifel associates are responsible for implementing this
EEO policy in their daily actions, conduct and decisions. All associates are expected to treat each
other with respect and professionalism.
Stifel is an Equal Opportunity Employer.
The Institutional Regulatory Officer will be primarily responsible for carrying out the supervisory program for Fixed Income Sales and Trading. The candidate will serve as an intermediary between legal, compliance, operations and business professionals to advise and coordinate all matters pertaining to the Firm's on-going regulatory obligations.
ESSENTIAL DUTIES AND RESPONSIBILITIES
- Design and complete the Firm's supervisory reviews and check lists.
- Design, update and implement the Firm's written supervisory procedures and exception reports in conjunction with legal and compliance.
- Provide daily guidance to sales and trading staff as it relates to interpretive questions or policy matters.
- Acts as a delegate for FICM managers by providing direct supervisory oversight of all institutional Fixed Income sales and trading activity.
- Liase with compliance to formulate responses to regulatory inquiries and exams.
- Contribute to internal committees as needed.
- Monitor employee trading, outside accounts, outside business activities, gifts and private securities transactions.
- Monitor electronic communications.
$90,000 - $100,000 base salary
QUALIFICATIONS
- Excellent knowledge of FINRA and SEC regulations governing fixed income sales and trading including, but not limited to, trade reporting, markups/fair pricing, suitability and sales practice obligations is preferred.
- Previous experience in a sales and trading environment preferred.
- Must be extremely detail oriented, self-motivated, take initiative, work under pressure, commit to time constraints and occasionally work long hours.
EDUCATION AND EXPERIENCE
- Minimum required: B.S. or B.A. in Finance or Economics or equivalent combination of education and experience.
- Minimum required: 1-3 years of related experience.
LICENSES AND CREDENTIALS
- Minimum required: FINRA Series 7, 63, and 24.
- Preferred: FINRA Series 53, 55/57
SYSTEMS AND TECHNOLOGY
- Proficient in Microsoft Excel, Word, PowerPoint, Outlook.
- Working knowledge of Bloomberg and BETA/other OMS is preferred.
- Proficiency with SQL/Microsoft SQL Server preferred.
Education
Bachelors of FINANCE (required)
Licenses & Certifications
Series 24 (preferred)
Series 53 (preferred)
Series 7 (preferred)
Series 53 (preferred)
Series 7 (preferred)
Stifel is committed to providing equal employment opportunities (EEO) to all associates,
applicants for employment, and individuals providing services in the workplace without regard to
actual or perceived race, color, religion, creed, gender, pregnancy (including childbirth, lactation,
child-bearing capacity, sterilization, fertility, past pregnancy condition and the potential or intention
to become pregnant and related medical condition), sexual and reproductive health decisions, sexual
orientation, gender identity and gender expression (including transgender individuals who are
transitioning, have transitions, or are perceived to be transitioning to the gender with which they
identify), national origin, ancestry, age, disability, weight, genetic information, marital status,
citizenship status, familial status, homelessness (i.e., lack of a permanent mailing address or a
mailing address that is a shelter or social services provider), status as a covered veteran or any
other protected criteria in accordance with applicable federal, state and local laws. Stifel complies
with applicable state and local laws governing non-discrimination in employment applicable to
each location in which the Firm operates. Stifel strictly prohibits any form of unlawful
discrimination.
Equal opportunity extends to all aspects of the employment relationship, including hiring,
transfers, promotions, training, termination, working conditions, compensation, benefits, and other
terms and conditions of employment. All Stifel associates are responsible for implementing this
EEO policy in their daily actions, conduct and decisions. All associates are expected to treat each
other with respect and professionalism.
Stifel is an Equal Opportunity Employer.
Job Summary
Company
Start Date
As soon as possible
Employment Term and Type
Regular, Full Time
Required Education
Bachelor's Degree
Required Experience
1 to 3 years
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