Supervisory Analyst

A leading financial services firm is seeking an experienced Supervisory Analyst to support its U.S. equity research operations. This position is responsible for reviewing, editing, and approving investment research and related publications to ensure regulatory compliance, editorial accuracy, and consistent quality standards.

The ideal candidate brings strong knowledge of securities research regulations, exceptional writing and editing abilities, and experience working in a deadline-driven research environment.

Key Responsibilities

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• Review and approve equity research reports, market updates, presentations, and other investment-related materials before distribution.
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• Ensure research publications comply with applicable securities regulations, internal policies, and established editorial standards.
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• Edit content for accuracy, clarity, grammar, consistency, and overall readability.
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• Collaborate with research analysts and associates to refine written materials and resolve publication-related issues.
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• Coordinate with compliance teams on regulatory matters, including event invitations, external speaking engagements, and trading clearance requests.
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• Manage the release and distribution of approved research materials to institutional investors.
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• Utilize research publishing platforms to support document review, approval workflows, and timely publication.
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• Work with international supervisory teams and technology support groups to address publishing issues and maintain efficient processes.
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• Manage multiple assignments simultaneously while meeting strict publication deadlines.
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Required Qualifications

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• Minimum 5 years of relevant experience in equity research supervision, research compliance, or a closely related function.
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• FINRA Series 16 license or FINRA-recognized equivalent qualification.
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• Strong understanding of securities research regulations and the regulatory principles governing investment research publications.
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• Exceptional writing, proofreading, editing, and communication skills.
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• Demonstrated ability to identify regulatory and editorial issues while maintaining a high level of accuracy.
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• Experience using BlueMatrix or comparable research publishing and distribution platforms.
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• Advanced proficiency with Microsoft Office applications.
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• Ability to prioritize competing deadlines and perform effectively in a fast-paced environment.
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• Strong interpersonal skills and the ability to communicate professionally with research, compliance, and supervisory stakeholders.
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