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Director of Research Compliance
at MLane@ComplianceSearch.com in New York, NY
RESPONSIBILITIES: Responsible for developing and managing the firm’s compliance program for
all aspects of Equity, Fixed Income and High Yield Research compliance,
including compliance with applicable federal and SRO regulations, the
Global Research Settlement and policies.
Specific responsibilities include:
• Develop and implement policies, procedures guidelines and manuals for the research departments and for capital markets and investment banking employees with respect to their communications with research analysts.
• Conduct compliance training and education of research department employees and of IBD/ECM and Sales and Trading with respect to research rules.
• Generally, develop and implement a surveillance program to monitor research departments’ compliance with the firm’s policies, securities regulations and Global Research Settlement provisions.
• Oversee team that chaperones and documents communications between Equity Research analysts and IBD/ECM; reviews and monitors draft reports sent to issuers; reviews and follows up on the Research Analyst Public Appearance Checklist; reviews offering related internal sales materials containing analyst earnings models or views with respect to Capital Markets transactions; reviews email communications of Research Analysts, etc.
As Research continues to receive significant regulatory and media focus, and the person who serves as the Director of Research Compliance will be required to regularly interface with the various regulatory bodies, as well as senior business and LCD management, the candidate who fills the role ideally should have Director level experience.
To apply please submit your resume to Michael Lane - MLane@ComplianceSearch.com
all aspects of Equity, Fixed Income and High Yield Research compliance,
including compliance with applicable federal and SRO regulations, the
Global Research Settlement and policies.
Specific responsibilities include:
• Develop and implement policies, procedures guidelines and manuals for the research departments and for capital markets and investment banking employees with respect to their communications with research analysts.
• Conduct compliance training and education of research department employees and of IBD/ECM and Sales and Trading with respect to research rules.
• Generally, develop and implement a surveillance program to monitor research departments’ compliance with the firm’s policies, securities regulations and Global Research Settlement provisions.
• Oversee team that chaperones and documents communications between Equity Research analysts and IBD/ECM; reviews and monitors draft reports sent to issuers; reviews and follows up on the Research Analyst Public Appearance Checklist; reviews offering related internal sales materials containing analyst earnings models or views with respect to Capital Markets transactions; reviews email communications of Research Analysts, etc.
As Research continues to receive significant regulatory and media focus, and the person who serves as the Director of Research Compliance will be required to regularly interface with the various regulatory bodies, as well as senior business and LCD management, the candidate who fills the role ideally should have Director level experience.
To apply please submit your resume to Michael Lane - MLane@ComplianceSearch.com
Published at 14-07-2010
Viewed: 9 times
Viewed: 9 times