Supervisory Analyst (Part-Time)

Part-time

Cleveland Research Co

Supervisory Analyst (Part-Time)
Have immediate impact | Be passionate about what you do | Grow with us
Cleveland Research Company is an independent research firm headquartered in Cleveland, Ohio. Founded in 2006, CRC has expanded to 17 research teams across 50 key channels publishing research on over 180 companies. We pride ourselves on a disciplined research process that has us regularly engaged with the channels and companies we cover. We built the foundation of CRC in the equity research business with institutional money managers as our primary client base (mutual funds, hedge funds, pension funds). We are mainly focused on uncovering fundamental business inflection points via rigorous digging in the channel that serve as a foundation for our company and industry forecasts. Our clients find value from getting in front of key themes and trends that lead to faster and better strategic and financial decisions.
Cleveland Research Company is a truly independent firm owned by its founders and employees. Our independent research provides our customers with the insights needed to gain conviction behind their business decisions. We are committed to a singular focus on providing the most accurate and reliable research product in the market.
Cleveland Research Company, LLC, a registered Broker Dealer and Investment Advisor, is seeking a qualified candidate to help promote and maintain the firm’s culture of regulatory compliance. The Supervisory Analyst is a key resource for the firm by reviewing and approving a high volume of equity research content. Our Compliance Department develops and maintains strong relationships across the departments to foster a culture of professional, ethical, and responsible behavior. A successful candidate will possess a high level of initiative, professionalism, attention to detail, and organizational skills. The position will have daily interaction with individuals from all departments.
We are looking for someone w ith active FINRA Registrations (SIE, 7, 24 and 16 OR 86/87).
Responsibilities
Adhere to all regulatory and compliance requirements
Provide supervisory approval for written research products prior to client dissemination
Review for content quality and adherence to relevant regulations and business standards
Ensure appropriate disclosures are included for all approved products
Have proficiency to multi-task, with the ability to review multiple reports while communicating effectively with analysts and team members
Assist with FINRA exams as applicable
Assist with annual compliance reporting requirements
Prompt escalation of any potential issues to CCO
Develop and maintain positive working relationships with internal clients, staff, and peers.
Other duties as assigned to support the CCO and Compliance Team
Required Qualifications
3 – 5 years prior Supervisory Analyst experience and Undergraduate degree
Active FINRA Registrations (SIE, 7, 24 and 16 OR 86/87) required
Working knowledge of FINRA and SEC regulations related to equity research content and practices (i.e., 2241, 2210, Reg AC, etc.)
Critical thinking skills and high attention to detail
Outstanding time management skills in a fast-paced environment with the flexibility to work outside regular work hours if/when needed
High ethical standards
Able to communicate with all levels of staff effectively, both written and verbally
Strong technical skills (Outlook, Word, Excel, PowerPoint, Singletrack web-based publishing platform, other).
Location: Remote
Working Hours: Sunday – Thursday: 4pm – 8pm EST
Benefits: Competitive salary + bonus potential, paid time off, 401k and TASC eligible

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Vacancy posted 3 days ago

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