Equity Research Associate – Supervisory Analyst

Role Overview

• Provide supervisory approval for research reports and other content
• Ensure the workflow of the equity research runs smoothly and in a compliant manner
• Interact as needed with the equity research teams, research management, the corporate access team and compliance (control group)
• Trade surveillance and email review
• Serve as an administrator and department resource for our publishing system, BlueMatrix

Requirements

• BA/BS degree
• Prior equity research or SA experience (at least 3-5 years)
• FINRA Registrations (7, 63, 87, 16 and/or 24)
• Working knowledge of FINRA, SEC and other regulations related to equity research content and practices (i.e., 2241, 2210, Reg AC, etc.)
• Strong attention to detail and editing skills in a fast-paced and sometimes time-constrained environment
• Ability to communicate efficiently and effectively by phone, email, IM, or in person with analyst teams
• Comfortable working in a team environment with other SAs as a collective group
• Strong technology skills (Outlook, Word, Excel, PowerPoint, BlueMatrix web-based publishing platform, other)

Benefits

• medical
• dental
• vision
• life insurance
• disability
• accidental death and dismemberment
• tax-preferred savings accounts
• 401k plan
• no less than 10 days of vacation
• 10 sick days
• paid holidays