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.
This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights notice from the Department of Labor.
Skills Required
- Bachelor's degree in a related field
- 5+ years of related experience and/or training
- 3+ years of management experience
- Excellent verbal, written, and organizational skills
- Strong attention to detail
- Analytical, critical thinking, and problem-solving skills
- Process management skills
- Proficiency in Microsoft Office Suite or similar software
- Ability to maintain confidentiality
- Securities Industry Essentials (SIE) certification
- Series 7 General Securities Representative license
- Series 63 State Law Exam license
Stephens Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Stephens and has not been reviewed or approved by Stephens.
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Healthcare Strength — Health coverage includes medical, dental, vision, and prescription benefits plus telemedicine, with employer‑paid life, AD&D, and long‑term disability and optional short‑term disability. Wellness incentives and an Employee Assistance Program extend support beyond core medical coverage.
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Retirement Support — A 401(k) profit‑sharing plan provides employer‑supported retirement savings. The benefit is positioned as a core component of the total package.
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Leave & Time Off Breadth — Paid vacation, sick leave, and holidays are provided alongside paid parental leave. Paid maternity leave for disability related to pregnancy and childbirth further expands time‑off coverage.
Stephens Insights
What We Do
Founded in 1933, Stephens is a family of privately-held, independent financial services firms focused on building value for companies, state and local governments, institutions and high-net-worth investors. We are headquartered in Little Rock, Arkansas, with offices in leading cities across the country and overseas. Since our founding, Stephens has pursued an independent course. We’ve built our firm on long-term relationships and enduring values, establishing an international reputation for vision, integrity and innovation. Free from herd mentality, short-term thinking and quarter-to-quarter imperatives, we’ve always stayed focused on the people who matter most: our clients. As investors and business owners ourselves, we have a unique perspective on the world. We understand the needs and concerns of individual investors, industry leaders and public interest stewards. Because we sit on the same side of the table as our clients, we are able to understand their goals and help build their future in partnership.
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