Supervisory Analyst
Apply NowLocation:
New York, NY, US
Company:
Stifel is a diversified global wealth management and investment banking company focused on building relationships that help individuals pursue their financial goals.
Summary:
The Supervisory Analyst will provide reviews of equity research products ensuring compliance with regulations and company policies. Applicants need a Bachelor's Degree and 6 years of experience in a related field.
Requirements:
Technology: Microsoft Word, Excel, PowerPoint, Outlook
Hard Skills: editing securities documents, strong financial services background, knowledge of FINRA rules and regulations, good interpersonal skills, effective communication skills, ability to manage priorities, detail oriented, good judgement
Credentials: Bachelor’s Degree in related field
Experience: 6 years' of Supervisory Analyst related experience
Job Description:
The Supervisory Analyst will provide a high quality and timely review of all equity research products across a global platform, ensuring that all research is compliant with FINRA, FCA, CIRO and jurisdictional rules and regulations and Stifel company policies and procedures.
*This position is fully remote and requires working Monday through Thursday, 4:00 PM to 12:00 AM.
- Reviews all research intended for the public including but not limited to Firstcall notes, reports, marketing presentations/other presentations, invitations, weeklies, public appearances, podcasts/webcasts and the Research Monthly.
- Reviews include editing and compliance oversight of research to adhere to FINRA, FCA, CIRO and jurisdictional rules and regulations, as well as company policies, before approval and release to the public.
- Ensures timely release of all research publications.
- Engages in weekly/monthly team meetings which may occur outside of assigned work schedule.
- Performs other related duties as assigned.
