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19/05 Abhishek Mandhane
Assistant Manager at Kelly Services

Views:133 Applications:5 Rec. Actions:Recruiter Actions:0

Lead - FINRA Regulations (13-16 yrs)

Pune Job Code: 823003

You will be verifying that analyst communication with clients and the public is in compliance with the company guidelines and securities industry standards.


- You will be accountable for approving written research and analyst communications to verify that reports have tone and content consistent with FINRA regulations and firm policies & procedures; 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 research notes and recommendations.


- Manage the production process of reviewing, editing, and approving equity research communications, such as reports and presentations, including reviewing a product for quality assurance and adherence to regulatory and business standards


- Review and approve Research Public Appearance requests


- Review and pre-approve employee trade requests (Series 24 required)


- Ensure adherence to guidelines and publishing best practices for the research group


- Participate in extra projects for the department on an ad-hoc and ongoing basis


- Assist in performing Blue Matrix-related Administrative functions

Women-friendly workplace:

Maternity and Paternity Benefits

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