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Responsible for ensuring that research reports and other research materials meet compliance, regulatory and internal department requirements. Candidates must have strong industry and Supervisory Analyst expertise in fixed income and equity research.
Job Responsibility:
Provide high quality review of all research reports and marketing materials ensuring compliance with internal policy and regulatory requirements
Exhibit a high level of professionalism and a service ethos
Help troubleshoot queries from Research Analysts, Research Management and others regarding research workflow
Responsible for testing new technology/enhancement roll outs and working on research-related projects
Participate in recommendation and new research review meetings
Requirements:
Series 16 registration and experience as a Supervisory Analyst required
Other registrations encouraged (Series 4, 53)
Strong financial services background in all asset classes
CFA preferred
Possess and exhibit strong analytical abilities
Excellent communication skills
Must be service oriented, flexible and willing to adapt to ever-changing demands of the business