JOB OVERVIEW :
- Role : Supervisory Analyst (Director, Contractual Role)
- Domain: Sell-side Research Operations
- Qualification: Active FINRA Series 16 (SA) license
- Experience: 20+ years
- Location: United States / Europe / Asia-Pacific
JOB PURPOSE:
To review and approve investment research reports to ensure they meet regulatory, compliance and editorial standards
KEY RESPONSIBILITIES:
- Approve equity, fixed income and strategy research reports
- Ensure compliance with FINRA regulatory requirements and the firm’s editorial guidelines, including that research be clear and fair
- Ensure recommendations are substantiated by relevant data and investment rationales contain logical integrity, realistic assumptions and an assessment of risks
- Ensure research does not contain promissory language, exaggerated claims, gambling language, opinions that lack a reasonable basis, and unsubstantiated negative management commentary
- Assess the accuracy of data
- Interact with management, research analysts, legal, compliance and colleagues to finalise research reports
KEY COMPETENCIES:
- Good interpersonal skills and excellent written and oral communication skills
- Team player who can work in a high-pressure environment; should have the ability to prioritise and juggle several projects at the same time
- Must be comfortable working independently with strong accountability, while also coordinating smoothly across global teams
