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Added 22 mins ago
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Stephens Default

Assistant Compliance Officer

Little Rock, AR, United States

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Job details

Posting language: English
Posted: Nov 13, 2026

Original job description

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.

Apply on recruiting2.ultipro.com About employer

More about this job

Skills

Regulatory compliance
Provide information
Auditing
Organizational skills
Attention to detail
Work independently
Critical thinking
Problem solving
Microsoft Office
Confidentiality
Securities

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