What are the responsibilities and job description for the Supervisory Analyst position at Guggenheim Services, LLC?
Position Summary
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.
Essential Job Functions
- 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
- Participate in extra projects for the department on an ad-hoc and ongoing basis
- Other duties as assigned
- Remote position
- 40 hours per week; 4 PM - 12 AM ET Sunday-Thursday
Preferred Qualifications
- Strong understanding of finance and economics
- Experience using BlueMatrix publishing platform preferred; experience with SingleTrack a plus
- 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
- Self-motivated; teamwork-oriented but still can think and work independently
- Adept at picking up new concepts quickly
Basic Qualifications
- Bachelor’s Degree required
- 5 years of prior Supervisory Analyst experience preferred
- Series 7 and Series 16 required; Series 24 preferred
Salary Details
- Annual base salary between $160,000 and $180,000.
- The base salary range represents the low and high end of the anticipated base salary range for this position. Actual base salaries may vary depending on factors such as location and experience. The range listed reflects base salary only, and the total compensation package may include other components such as incentive compensation.
About Us
Guggenheim Partners is a diversified financial services firm that delivers value to its clients through two primary businesses: Guggenheim Investments, a premier global asset manager and investment advisor, and Guggenheim Securities, a leading investment banking and capital markets business. Guggenheim’s professionals are based in offices around the world, and our commitment is to deliver long-term results with excellence and integrity while advancing the strategic interests of our clients.Guggenheim is an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. Learn more at GuggenheimPartners.com, and follow us on LinkedIn and Twitter @GuggenheimPtnrs.
Salary : $160,000 - $180,000