Stephens Inc.
Compliance Counsel, Equity Research and Sales
Stephens Inc., Little Rock, Arkansas, United States, 72208
Compliance Counsel, Equity Research and Sales
Job Category : Compliance
Requisition Number : COMPL003000
Posted : December 2, 2025
Full-Time
On-site
Locations Showing 1 location
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.
Equal Opportunity Employer This employer is required to notify all applicants of their rights pursuant to federal employment laws.For further information, please review the Know Your Rights notice from the Department of Labor.
#J-18808-Ljbffr
Requisition Number : COMPL003000
Posted : December 2, 2025
Full-Time
On-site
Locations Showing 1 location
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.
Equal Opportunity Employer This employer is required to notify all applicants of their rights pursuant to federal employment laws.For further information, please review the Know Your Rights notice from the Department of Labor.
#J-18808-Ljbffr