Supervisory Analyst | Leading Financial Services Firm | Mumbai

Curve HR
  • Mumbai
  • Confidential
  • 6-15 years
  • 218 Views
  • 29 Aug 2015
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  • Compliance/ Regulatory

  • Financial Services/ Capital Markets
Job Description

Role : Supervisory Analyst
Company : Leading Financial Services Firm
Location : Mumbai

Job responsibilities:
* Responsible for supervision of research reports to ensure compliance with firm and regulatory requirements
* Daily review of exception reports, identifying and reporting risk issues, including any compliance or suitability issues
* Assisting in the development of policies/procedures designed to ensure compliance with all industry/regulatory requirements
* Management of internal checks and control through policies and Dos and DONTs for Research Analyst on current regulations
* Review of Non Disclosure agreement on IB transactions, management of conflict of interest policy across the organization
* Manage the editing and production process from point of submission to point of distribution as well as work on ad hoc projects
* Train and develop Investment Research team members on overall editorial/compliance procedures, writing, templates and
desktop publishing product-related systems
* Engage with lead research analysts and their teams to improve the quality of published research
* Manage workflow, record production details and work with the editor and provide comments using proprietary applications


Competencies/Skill sets for this job

Supervisory Equity Research "Equity Research Report"

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