Equity Research Associate - Supervisory Analyst

Language Fluency: English (Required)

Work Shift:

2nd Shift - 10% Automatic Pay Differential (United States of America)

Job Grade:

110

Please review the following job description:

The right individual will be part of a cohesive Supervisory Analyst (SA) team that approves a high volume of equity research content for a department of over 45 publishing analysts, across approximately 800 covered securities. Our mission is to provide deep, differentiated and responsive research for institutional clients.

Supervisory Analysts (SAs) are considered principals of the equity research department under FINRA rules and are valued gatekeepers that ensure Truist Securities’ research meets demanding internal standards.

It is required to have the Series 16 (Supervisory Analyst) and/or the Series 24 (General Securities Principal). Additionally, at least five years of experience as an SA, research analyst or associate is highly preferred.

Expect to be working under tight deadlines to ensure reports are accurate, unbiased, and comply with SEC and FINRA regulations. The ability to work independently and be consistent with firm-wide standards is requisite as you review, edit, and approve research reports for logic, methodology, and regulatory compliance.

ESSENTIAL DUTIES AND RESPONSIBILITIES

Level-specific duties:

1.       Provide supervisory approval for research reports and other content

2.       Ensure the workflow of the equity research runs smoothly and in a complaint manner, i.e. written and spoken presentations and public appearances are reviewed for adherence to regulatory and firmwide standards

3.       Interact as needed with the equity research teams, research management, the corporate access team and compliance (control group)

4.       Trade surveillance and email review

5.       Serve as an administrator and department resource for our publishing system, BlueMatrix

Skills and Experience Preferred:

1.       Prior equity research or SA experience (at least 3-5 years) and college degree (BA minimum).

2.       Registrations (7,63,87,16,24)

3.       Working knowledge of FINRA, SEC and other regulations related to equity research content and practices (i.e., 2241, 2210, Reg AC, etc.)

4.       BlueMatrix experience - SA approval -queue experience and/or experience publishing as an analyst on BlueMatrix

5.       Trade surveillance and email review as a series 24 principal

6.       Strong attention to detail and editing skills in a fast-paced and sometimes time-constrained environment where sound decision making skills are paramount to meeting regulatory requirements and firm standards for equity research content

7.       Ability to communicate efficiently and effectively by phone, email, IM, or in person with analyst teams

8.       Comfortable working in a team environment with other SAs as a collective group and flexibility to work outside regular work hours when/if needed

9.       Strong technology skills (Outlook, Word, Excel, PowerPoint)

Required Qualifications:

1. BA/BS degree

2. Prior equity research or SA experience (at least 3-5 years)

3. FINRA Registrations (7, 63, 87, 16 and/or 24)

4. Working knowledge of FINRA, SEC and other regulations related to equity research content and practices (i.e., 2241, 2210, Reg AC, etc.)

5. Strong attention to detail and editing skills in a fast-paced and sometimes time-constrained environment where sound decision making skills are paramount to meeting regulatory requirements and firm standards for equity research content

6. Ability to communicate efficiently and effectively by phone, email, IM, or in person with analyst teams

7. Comfortable working in a team environment with other SAs as a collective group and flexibility to work outside regular work hours when/if needed.

8. Strong technology skills (Outlook, Word, Excel, PowerPoint, BlueMatrix web-based publishing platform, other)

 

 Preferred Qualifications:

1.    Working towards CFA Designation. 

2.    4 years of related work related experience

Location: Remote

Working Hours: Mon – Thurs 6pm-2am Eastern Time (3pm – 11pm PT) Sun 4:00PM to 12:00AM

- The annual base salary for this position is $160,000

General Description of Available Benefits for Eligible Employees of Truist Financial Corporation: All regular teammates (not temporary or contingent workers) working 20 hours or more per week are eligible for benefits, though eligibility for specific benefits may be determined by the division of Truist offering the position. Truist offers medical, dental, vision, life insurance, disability, accidental death and dismemberment, tax-preferred savings accounts, and a 401k plan to teammates. Teammates also receive no less than 10 days of vacation (prorated based on date of hire and by full-time or part-time status) during their first year of employment, along with 10 sick days (also prorated), and paid holidays. For more details on Truist’s generous benefit plans, please visit our Benefits site. Depending on the position and division, this job may also be eligible for Truist’s defined benefit pension plan, restricted stock units, and/or a deferred compensation plan. As you advance through the hiring process, you will also learn more about the specific benefits available for any non-temporary position for which you apply, based on full-time or part-time status, position, and division of work.

Salary : $160,000