Equity Research Associate - Supervisory Analyst

Overview

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Regular or Temporary: Regular

Language Fluency: English (Required)

Work Shift: 2nd Shift - 10% Automatic Pay Differential (United States of America)

Please review the following job description: The right individual will be part of a cohesive Supervisory Analyst (SA) team that approves a high volume of equity research content for a department of over 45 publishing analysts, across approximately 800 covered securities. Our mission is to provide deep, differentiated and responsive research for institutional clients. Supervisory Analysts (SAs) are considered principals of the equity research department under FINRA rules and are valued gatekeepers that ensure Truist Securities’ research meets demanding internal standards.

It is required to have the Series 16 (Supervisory Analyst) and/or the Series 24 (General Securities Principal). Additionally, at least five years of experience as an SA, research analyst or associate is highly preferred. Expect to be working under tight deadlines to ensure reports are accurate, unbiased, and comply with SEC and FINRA regulations. The ability to work independently and be consistent with firm-wide standards is requisite as you review, edit, and approve research reports for logic, methodology, and regulatory compliance.

• Provide supervisory approval for research reports and other content
• Ensure the workflow of the equity research runs smoothly and in a compliant manner, i.e. written and spoken presentations and public appearances are reviewed for adherence to regulatory and firmwide standards
• 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, Blue Matrix

• Prior equity research or SA experience (at least 3-5 years) and college degree (BA minimum)
• Registrations (7, 63, 87, 16, 24)
• Working knowledge of FINRA, SEC and other regulations related to equity research content and practices (i.e., 2241, 2210, Reg AC, etc.)
• Blue Matrix experience - SA approval - queue experience and/or experience publishing as an analyst on Blue Matrix
• Trade surveillance and email review as a Series 24 principal
• Strong attention to detail and editing skills in a fast-paced and sometimes time-constrained environment where sound decision making skills are paramount to meeting regulatory requirements and firm standards for equity research content
• 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 and flexibility to work outside regular work hours when/if needed
• Strong technology skills (Outlook, Word, Excel, PowerPoint)

• 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 where sound decision making skills are paramount to meeting regulatory requirements and firm standards for equity research content
• 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 and flexibility to work outside regular work hours when/if needed
• Strong technology skills (Outlook, Word, Excel, PowerPoint, Blue Matrix web-based publishing platform, other)

• Working towards CFA Designation
• 4+ years of related work experience

Remote

Mon –…