More jobs:
Compliance Counsel, Equity Research and Sales
Job in
Little Rock, Pulaski County, Arkansas, 72208, USA
Listed on 2026-01-14
Listing for:
Stephens
Full Time
position Listed on 2026-01-14
Job specializations:
-
Law/Legal
Regulatory Compliance Specialist
Job Description & How to Apply Below
ESSENTIAL DUTIES AND RESPONSIBILITIES
- Review and provide approval for Equity Research Reports dealing with "restricted" companies.
- Provide Guidance to Research personnel on applicable rules and regulations, as well as Firm policy.
- Review and maintain Research Department Manual.
- Review electronic communications for compliance with applicable rules and regs, as well as Firm policy.
- Respond to regulatory inquiries regarding Firm research.
- Respond to client inquiries/surveys regarding the Firm's research.
- Provide training to Research Personnel on an as-needed basis.
- Perform any other related duties as required or assigned.
- Juris Doctorate (J.D.) required.
- 3+ years of related experience and/or training.
- Equivalent combination of education and experience.
- SIE – Securities Industry Essentials.
- Series 7 – General Securities Representative.
- Series 63 - State Law Exam.
- Series 14 – Compliance Officer Exam preferred.
- Series 24 – General Securities Principal preferred.
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