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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in reviewing and editing Equity Research products for compliance with FINRA and CIRO regulations, ensuring clarity and accuracy in financial reporting. Possesses strong organizational and communication skills to manage multiple projects under tight deadlines.
Highest-signal resume keywords
FINRA Series 16 LicenseSupervisory Analyst ExperienceBlueMatrix Publishing SystemEditing and Proofreading SkillsRegulatory Compliance Knowledge
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Equity Research ReviewFinancial ValidationRegulatory ComplianceInvestment Thesis PresentationEditingProofreadingFinancial ReportingData AnalysisProject ManagementContent Clarity Assurance
Soft Skills
Strong Written CommunicationAttention to DetailOrganizational SkillsAbility to Work Under PressureProject Prioritization
Tools & Technologies
Microsoft WordMicrosoft PowerPointMicrosoft ExcelBlueMatrix
Certifications & Qualifications
FINRA Series 16 LicensePartners, Directors and Senior Officers (PDO) Exam
Industry Keywords
FINRACIROSecurities FirmComplianceEquity-Security ValuationPublic DisclosureResearch Analyst LiaisonInvestment RatingsRegulatory StandardsConflict of Interest
About the role
Key responsibilities & impact- Review all public-facing Equity Research products, including notes, reports, marketing presentations, invitations, videos, and podcasts
- Edit and oversee compliance of research with FINRA, CIRO, jurisdictional rules, and company policies before public release
- Ensure timely release of research
- Ensure research content is clear, fair, balanced, and not misleading
- Confirm investment theses and equity-security valuations are clearly presented, justifiable, and support ratings
- Validate financial figures and estimates and ensure they are updated throughout templates
- Ensure required company and other disclosures are present and regulatory-compliant
- Determine that information is publicly available and appropriately attributed, particularly regarding potential conflicts of interest
- Use BlueMatrix to schedule and distribute research reports to subscribers
- Liaise with research analysts regarding wording, regulatory concerns, numerical inconsistencies, logic, and clarity
Requirements
What you’ll need- Bachelor’s Degree
- 5+ years of experience as a Supervisory Analyst at a securities firm
- FINRA Series 16 License Required
- Partners, Directors and Senior Officers (PDO) exam (CIRO)
- Ability to prioritize and juggle several projects while working under tight deadline pressure
- Strong editing and proofreading skills
- Highly organized approach to work with meticulous attention to detail
- Strong written communication skills
- Knowledge of Microsoft Word, PowerPoint, and some Excel
- Knowledge of BlueMatrix publishing system preferred
- Conservative mindset when reviewing materials from a compliance, regulatory, and reputational perspective
- Must be eligible for employment under standards established by FINRA
- Satisfactory results on criminal background, credit report, civil litigation, and regulatory enforcement checks
- Occasional domestic travel required; international travel never
Benefits
Comp & perks- Health and well-being benefits
- Savings and retirement programs
- Paid time off, including Vacation PTO, Flex PTO, and Holiday PTO
- Banking benefits and discounts
- Career development
- Reward and recognition
- Regular development conversations, training programs, and mentoring programs
- Online learning platform
- Training and onboarding sessions
- Variable compensation/incentive awards, including eligibility for cash and/or equity incentive awards