Supervisory Analyst

The Rockridge Group

Woodinville, WA

Full-Time

Job Description

Job Title: Supervisory Analyst

Hours/week: 25 hours per week/30 hours during earnings; 8 PM ET-1 AM ET Sunday-Thursday, with schedule flexibility to accommodate different/additional coverage hours as needed.

Work days: Sunday to Thursday, 8 PM to 1 AM EST

About the Position:

Within the Equity Research area, the Supervisory Analyst verifies that analyst communication with clients and the public is in compliance with company guidelines and securities industry standards.

The Supervisory Analyst is 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.

Specific Responsibilities Include:

Proactively 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
Assist in performing BlueMatrix-related Administrative functions
Review and approve Public Appearance requests, marketing decks and invites
Ensure adherence to guidelines and publishing best practices for the research group
Offer support/training for BlueMatrix publishing system

Skills & Experience Required:

Bachelor’s Degree required
5+ years of prior Supervisory Analyst experience preferred
Series 7 and Series 16 required; Series 24 preferred
Strong understanding of finance and economics
Experience using BlueMatrix publishing platform preferred
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
Rapid decision-making skills; ability to use good judgment
Mental discipline, relentless attention to detail, and ability to solve problems under pressure