Compliance Counsel, Equity Research and Sales

Compliance Counsel, Equity Research and Sales

Job Category
:
Compliance

Requisition Number
: COMPL
003000

• Posted :
  December 2, 2025
• Full-Time
• On-site

Showing 1 location

• 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.

Equal Opportunity Employer
This employer is required to notify all applicants of their rights pursuant to federal employment laws.

For further information, please review the Know Your Rights notice from the Department of Labor.