Please contact your Administrator to change your authorization settings.
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
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.