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Stephens Default

Compliance Counsel, Equity Research and Sales

Stephens Default See More Job Openings by This EmployerArrow
  • Full Time
  • Little Rock, AR
June 23, 2025 Attorney

Job Description

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.



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