Summary

The Compliance Control Room Chaperone is responsible for the coordination, facilitation and chaperoning of permitted communication between the firm’s Investment Banking and Equity and Fixed Income Research personnel. Work to facilitate compliance with and conformance to Global Research Settlement and Firm Policies and Procedures relating to permitted communications between personnel in the Investment Banking and Equity and Fixed Income Research Departments.

Essential Duties and Responsibilities

• Responsible for chaperoning of permitted communications between personnel in the investment banking and research personnel employed by Stifel Nicolaus & Co, Keefe Bruyette & Woods, Stifel Nicolaus Europe Limited, Miller Buckfire, and Stifel Bank.
• Coordinate scheduling with administrative assistance in the various investment banking and equity and fixed income research departments.
• Log Chaperone Calls in accordance with firm policy.
• Document and escalate issues in accordance with firm policy.
• Provide guidance to personnel regarding permitted communications.
• Attend firm sponsored conferences and events as may be necessary.

Qualifications

• Knowledge of Global Research Settlement, specifically permissible communications between investment banking and research
• Ability to manage multiple priorities in a fast paced environment
• Ability to clearly communicate complex requirements
• Ability to interact with individuals at a variety of levels within the organization in a professional manner
• Strong written and verbal communication skills

Education and Experience

• Minimum Required: Bachelor's Degree in Business or related field or equivalent work experience
• 3+ years of compliance experience with strong knowledge of securities laws and regulations applicable to the research and banking conflicts.
• Series 7
• Series 24 and 87 Preferred.
• Proficient in Microsoft Word, Excel, PowerPoint, Outlook

Hiring Minimum: $71,231

Hiring Maximum: $106,846

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 – and 26 years of continual growth – 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.