Vice President/Supervisory Analyst - FINRA Policies

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.