Compliance Counsel, Equity Research and Sales

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.

EDUCATION AND/OR EXPERIENCE

• Juris Doctorate (J.D.) required.
• 3+ years of related experience and/or training.
• Equivalent combination of education and experience.

CERTIFICATES, LICENSES, REGISTRATIONS

• 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.