Job description
Job Summary
The Public Finance Oversight Specialist is responsible for ensuring compliance with laws and regulations governing public finance and municipal securities and helping maintain the integrity of public finance records.
- Monitor internal system for reasonable surveillance of municipal advisory engagements to ensure compliance with industry rules, regulations, and internal policies and procedures.
- Anticipate needs, answer questions, and support public finance bankers serving as municipal advisors.
- Review and ensure accuracy of engagement agreements, regulatory documents, and other documents required under industry rules and regulations.
- Meet and adhere to strict regulatory guidelines, ensuring all goals are met and required documentation is completed by municipal advisors in a timely manner.
- Partner with internal teams and other departments as needed such as Legal, Compliance, and Public Finance supervisors to further reduce risk, ensure compliance, or to gain additional information or knowledge to enhance the execution of responsibilities.
- Develop expertise/strong understanding of Municipal Securities and Public Finance laws and regulations and how to interpret and apply them while using sound judgment and reasoning skills.
- Recommend solutions to address non-compliance and how to satisfy procedural obligations.
- Work with the Municipal Oversight team on other special projects or cross-training objectives as needed or requested.
- Strong critical thinking and analytical skills and the ability to use these skills to interpret and apply rules, regulations, and internal policies and procedures.
- Ability to work independently using excellent judgement, insight, diligence, and discernment.
- Ability to demonstrate strong organizational skills and attention to detail, while balancing priorities appropriately.
- Understanding of how rules and regulations create the need to satisfy obligations found in internal operating procedures and the Firm’s policies.
- Strong verbal and written communication skills.
- Minimum Required: Bachelor's degree in related field
- Minimum Preferred: 2+ years related experience in financial services, audit, legal, or compliance role.
- Minimum Required: None
- Proficient in Microsoft Excel, Word, 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.
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