About this role
Insures compliance with the rules and regulations of various regulatory authorities by thoroughly and competently performing various required tasks. Represents the Compliance Department when interacting with and providing information to personnel throughout the firm as well as to outside regulatory personnel; therefore, the candidate must be professional, courteous and knowledgeable of the workings of Stephens Inc.
ESSENTIAL DUTIES AND RESPONSIBILITIES
- Provide backup to VP/Compliance Officer of Internal Audit.
- Daily review of trading activities to ensure compliance with the policies, rules and regulations of Stephens and regulatory and governmental agencies.
- Calculate and Distribute 10b18 spreadsheet.
- Perform various employee user access audits
- Maintain the confidential Watch List
- Provide information for responses to Regulatory inquiries.
- System Administrator for the My Compliance Office (MCO) program.
- Perform any other related duties as required or assigned.
EDUCATION AND/OR EXPERIENCE
- Bachelor's degree in a related field.
- 5+ years of related experience and/or training.
- 3+ years of management experience.
- Equivalent combination of education and experience.
KNOWLEDGE, SKILLS, AND ABILITIES
- Excellent verbal, written and organizational skills and strong attention to detail.
- Self-motivated with the ability to work independently in a fast-paced environment.
- Ability to prioritize and handle multiple tasks simultaneously.
- Analytical, critical thinking and problem solving skills with the ability to determine the appropriate action.
- Process management skills.
- Establish and maintain effective working relationships at all levels of the organization.
- Proficient in Microsoft Office Suite or similar software, with the ability to learn and utilize industry specific software as required.
- Ability to maintain confidentiality.
- Demonstrated reliability in attendance and work performance.
CERTIFICATIONS, LICENSES, AND REGISTRATIONS
- SIE – Securities Industry Essentials preferred.
- Series 7 – General Securities Representative preferred.
- Series 63 - State Law Exam preferred.