Job Description

Compliance Counsel, Equity Research and Sales Join to apply for the Compliance Counsel, Equity Research and Sales role at Stephens Compliance Counsel, Equity Research and Sales 1 day ago Be among the first 25 applicants Join to apply for the Compliance Counsel, Equity Research and Sales role at Stephens 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.

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. Seniority level Seniority level Mid-Senior level Employment type Employment type Full-time Job function Job function Legal Referrals increase your chances of interviewing at Stephens by 2x Sign in to set job alerts for “Lawyer” roles. Litigation Associate Attorney – Property & Auto Liability (Remote, Texas Licensed) Little Rock, AR $115,000.00-$155,000.00 2 weeks ago Litigation Attorney – Insurance Defense (Remote, Texas Licensed) Little Rock, AR $115,000.00-$150,000.00 1 week ago Little Rock, AR $80,000.00-$90,000.00 2 hours ago Little Rock, AR $150,000.00-$350,000.00 3 weeks ago Little Rock, AR $150,000.00-$150,000.00 1 week ago Arkansas, United States $150,000.00-$350,000.00 3 weeks ago Little Rock, AR $160,000.00-$220,000.00 19 hours ago Little Rock, AR $62,530.00-$99,740.00 1 week ago Little Rock, AR $150,000.00-$200,000.00 2 weeks ago Little Rock, AR $130,000.00-$140,000.00 21 hours ago Claims Adjuster - Attorney Represented Injury Claims Adjuster - Attorney Represented Injury Little Rock, AR $300,000.00-$600,000.00 1 week ago Claims Adjuster - Attorney Represented Injury Career Change? Weekly Pay- Hourly Draw +Commission!! (Sales Training) We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI. #J-18808-Ljbffr Stephens

Job Tags

Hourly pay, Weekly pay, Full time, Remote work,

Similar Jobs