About the Position
Within the Equity Research area, the Supervisory Analyst verifies that analyst communication with clients and the public is in compliance with the company guidelines and securities industry standards.
The Supervisory Analyst is accountable for approving all written research and analyst communications to verify that reports have tone and content consistent with the securities industry guidelines, contain appropriate language and present a balanced view of the subject company, its current financial condition, and its prospects for future growth.
The role works closely with Compliance to safeguard the integrity of internal information controls and works directly with Research Analysts, Research Management, and vendors to resolve issues and ensure rapid time to market of investment notes and recommendations.
Hours: Full-time, Monday through Friday during normal New York business hours. Schedule flexibility to accommodate coverage needs a plus. This position can work remotely.
Specific Responsibilities Include
- Manage the production process of reviewing, editing, and approving equity research communications, such as reports and presentations, including reviewing product for quality assurance and adherence to regulatory and business standards
- Review and approve all Research public appearance requests
- Review and pre-approve all Research employee trading requests
- Work with new analyst teams to ensure a seamless launch, including setup and training in BlueMatrix, initiation review, and confirmation of disclosures
- Organize weekly and monthly meetings with Research Management, BlueMatrix Project Manager, Research Oversight Committee, and other groups as needed
- Manage ongoing projects, such as the rollout of new templates, coordination of periodic department pieces, and data aggregation from BlueMatrix
- Document guidelines and publishing best practices for research group
- Communicate daily workflow to Research Management and other members of SA team
- Work with Compliance and Internal Audit to document processes and extract audit log information from BlueMatrix
- Other duties as assigned
Skills & Experience Required
- Bachelor’s Degree required
- 5+ years prior Supervisory Analyst experience ideal
- Strong understanding of finance and markets with relentless attention to detail
- Must have Series 7, Series 16, and Series 24; or Series 7, Series 24, and Series 87
- BlueMatrix expertise
- Excellent verbal and written communication skills; proven ability to communicate effectively with diverse constituents
- Ability to work effectively as part of a team in a fast-paced environment
- Teamwork-oriented but still can think and work independently
- Fast decision-making skills, mental discipline, and ability to solve problems under pressure
- Effective communicator while under pressure
- Adept at picking up new concepts quickly
- Ability to use good judgment
About Guggenheim Securities
Guggenheim Securities is the investment banking and capital markets business of Guggenheim Partners. Guggenheim Securities offers a full range of services that fall into four broad categories: Advisory, Sales and Trading, Financing, and Research. Guggenheim Securities is headquartered in New York, with additional offices in Atlanta, Boston, Chicago, and San Francisco.
About Guggenheim Partners
Guggenheim Partners is a global investment and advisory firm with more than $240 billion1 in assets under management. Across our three primary businesses of investment management, investment banking, and insurance services, we have a track record of delivering results through innovative solutions. With 2,500 professionals based in over 25 offices in eight countries, our commitment is to advance the strategic interests of our clients and to deliver long-term results with excellence and integrity. We invite you to learn more about our expertise and values by visiting GuggenheimPartners.com and following us on Twitter at twitter.com/guggenheimptnrs.
1Assets under management are as of June 30, 2016 and include consulting services for clients whose assets are valued at approximately $57 billion.
To succeed in the Guggenheim culture, candidates must be self-starters and strive for results. We are looking for people, who operate as business owners, adhere to the highest standards and think creatively to realize opportunities, wherever they may be.
Guggenheim Partners is an Equal Opportunity Employer committed to a diversified and inclusive workforce.
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