Director - Supervisory Analyst, Equity Research

Location: Town of Boston

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* Reviews all research intended for the public, including but not limited to notes, reports, marketing presentations, invitations, videos, and podcasts
* Review includes editing and compliance oversight of research to adhere to FINRA, CIRO, and jurisdictional rules and regulations, as well as company policies, before approval and release to the public
* Ensures timely release of all research
* Ensures content of research reports is clear, fair, and not misleading
* Confirms the investment thesis and valuation of an equity security are clearly presented, justifiable, and form a reasonable basis for any rating. Research reports should be balanced in their language and presentation with risks to the investment properly conveyed
* Validates that financial figures and estimates are applicable to the report and are properly updated throughout the template
* Ensures proper company and other disclosures are present in reports and adhere to regulatory requirements
* Determines that information presented is publicly available and appropriately attributed, particularly when commenting on actual or possible corporate activity that could involve conflicts of interest
* Functions as a proficient user of the firm’s research publishing system (Blue Matrix) to confirm research reports are properly scheduled and distributed to subscribers
* Liaises with research analysts over issues such as wording of content and regulatory concerns, numerical inconsistencies, as well as the logic and clarity of their arguments
* Bachelor’s Degree
* 5+ years of experience as a Supervisory Analyst at a securities firm
* FINRA Series 16 License Required
* Partners, Directors and Senior Officers (PDO) exam (CIRO)
* Ability to prioritize and work on multiple projects while working under tight deadline pressure
* Strong editing and proofreading skills
* Highly organized approach to work with a meticulous attention to detail, especially during busy periods
* Strong written communication skills to convey messages, suggestions, and concerns clearly and effectively to team members
* Knowledge of Microsoft Word, PowerPoint, and some Excel
* Knowledge of Blue Matrix publishing system preferred
* Conservative mindset when reviewing materials from a compliance, regulatory, and reputational perspective
* This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws.  May (or may not) be a registered position under FINRA.
* Must be eligible for employment under standards established by FINRA.  Subject to the investigation and verification requirements of FINRA Rule 3110(e), including:  the Firm's obligation to
* investigate* the good…