Overview
Overall purpose of role:
– In line with firm and FINRA policies, Supervisory Analyst (Series 16) sign-off of research in all its forms prior to distribution, as well as editorial input.
– Other areas of activity include supervisory oversight of various analyst activities, trouble-shooting specific content issues as and when they arise, and general use of the bespoke departmental publishing platform. Predominantly this role will be performed for FICC global research output.
– However, there will be extensive involvement with and coverage of Equity research.
Key Accountabilities:
The key accountabilities include, but are not limited to:
– Reviewing research to ensure it complies with US regulatory and firm requirements (the key function of the SA role).
– Acting as a key safeguard in identifying and mitigating reputational risk in research content.
– Editorial work on the same material. Primarily this involves making the presentation of the argument more commercial as well as ensuring it reads well in English.
– Screening companies mentioned in each report and routing research through to the compliance control room where necessary.
– Distributing research through the firm’s publishing platform.
– Ensuring all trades in research reports are logged and tracked as part of the firm’s policies pursuant to the Marketing Abuse Directive.
– Liaising with analysts and other key stakeholders over ad hoc issues in research as and when they arise.
– Liaising with other members of the SA and research production team to ensure that research sent out is of the highest quality in terms of compliance, content and format.
– Approving models, powerpoint presentations as well as blast voicemails where appropriate and feasible.