Compliance Counsel, Equity Research and Sales Position Available In Pulaski, Arkansas
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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.
