Compliance Counsel, Equity Research and Sales

Stephens • Little Rock, AR

33d

About The Position

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.

Requirements

• 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.

Nice To Haves

• Series 14 - Compliance Officer Exam preferred.
• Series 24 - General Securities Principal preferred.

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.

What This Job Offers

• Job Type: Full-time
• Education Level: Ph.D. or professional degree