Compliance Research Coordinator
Location:Philadelphia Area


SIG has a job opportunity for a Research Coordinator to join our Bala Cynwyd based Compliance team.  We are seeking someone with strong writing and editing background for this role to primarily focus their efforts on managing the review and approval processes for research reports and materials produced by this business that would be published for client review. You will have the opportunity to work directly with our Research Analysts and Associates throughout this process gaining tremendous insight into their coverage universes. Furthermore, you will have the opportunity to support the development and maintenance of the firm’s Written Supervisory Procedures (WSPs) as well as support trade surveillance and best execution reporting for the business. All of this will provide a great opportunity to build and/or further develop your knowledge of the equities, options and fixed income products traded within our Institutional business.


In this role, you will:

  • Review all research and / or marketing materials submitted by the firm’s Research Analysts & Associates to ensure consistency of message and compliance with all related firm and regulatory guidance
  • Partner directly with analysts to address any updates/changes that need to be made to research/marketing materials, supporting any questions that arise and ensuring that all are in our system and approved to meet daily deadlines (i.e. the morning call)
  • Review and approve events & speakers (and related materials) for events hosted within the business
  • Complete Written Supervisory Procedures (WSPs) to assure compliance with applicable rules and regulations, and evidence completion of the same
  • Partner with our Trade Surveillance team to ensure proper surveillance and best execution for trading activity within our Institutional business


What we're looking for
  • Minimum of 4 years of experience in a compliance review or related role required; previous support of institutional research report review or review of advertising/marketing materials preferred
  • Bachelors degree in Finance, or a related discipline, required
  • Possession of the 7, 24 and 87 licenses and/or the ability to obtain those licenses within 12 months of hire required
  • Ability to support a flexible schedule, with occasional early mornings (5am start) or late evenings (10pm start), required
  • Experience with Blue Matrix, Complinet, and/or related platforms, a plus
  • CFA a plus


We don’t post salary ranges externally so any salary estimate you see listed here was not provided by SIG and may not be accurate. 


SIG is not accepting unsolicited resumes from search firms. All resumes submitted by search firms to any employee at SIG via-email, the Internet or directly without a valid written search agreement will be deemed the sole property of SIG, and no fee will be paid in the event the candidate is hired by SIG.


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