Stephens
Compliance Counsel, Equity Research and Sales
Stephens, Little Rock, Arkansas, United States, 72209
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.
In order to make an application, simply read through the following job description and make sure to attach relevant documents.
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 levelMid-Senior level Employment type
Employment typeFull-time Job function
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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.
In order to make an application, simply read through the following job description and make sure to attach relevant documents.
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 levelMid-Senior level Employment type
Employment typeFull-time Job function
Job functionLegal 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 InjuryClaims Adjuster - Attorney Represented Injury Little Rock, AR $300,000.00-$600,000.00 1 week ago Claims Adjuster - Attorney Represented InjuryCareer 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