Assistant Compliance Officer

Stephens • Little Rock, AR

7h

About The Position

The Assistant Compliance Officer ensures compliance with the rules and regulations of various regulatory authorities by competently performing required tasks. The role represents the Compliance Department when interacting with firm personnel and external regulatory personnel, and requires professionalism, courtesy, and knowledge of Stephens Inc.'s operations.

Requirements

• Bachelor's degree in a related field, or an equivalent combination of education and experience.
• 5+ years of related experience and/or training.
• 3+ years of management experience.
• Excellent verbal, written, and organizational skills, with strong attention to detail.
• Self-motivated, able to work independently in a fast-paced environment.
• Ability to prioritize and handle multiple tasks simultaneously.
• Analytical, critical-thinking, and problem-solving skills, including the ability to determine appropriate action.
• Process management skills.
• Ability to establish and maintain effective working relationships at all levels of the organization.
• Proficiency in Microsoft Office Suite or similar software, and ability to learn and use industry-specific software as required.
• Ability to maintain confidentiality.
• Demonstrated reliability in attendance and work performance.

Nice To Haves

• SIE – Securities Industry Essentials certification.
• Series 7 – General Securities Representative license.
• Series 63 – State Law Exam license.

Responsibilities

• Provide backup to the VP/Compliance Officer of Internal Audit.
• Review trading activities daily to ensure compliance with Stephens policies and applicable regulatory and governmental rules and regulations.
• Calculate and distribute the 10b18 spreadsheet.
• Perform employee user access audits.
• Maintain the confidential Watch List.
• Provide information for responses to regulatory inquiries.
• Serve as System Administrator for the My Compliance Office (MCO) program.
• Perform other related duties as required or assigned.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level