<p>ESSENTIAL DUTIES AND RESPONSIBILITIES</p> <ul> <li>Review and provide approval for Equity Research Reports dealing with "restricted" companies. </li><li>Provide Guidance to Research personnel on applicable rules and regulations, as well as Firm policy. </li><li>Review and maintain Research Department Manual. </li><li>Review electronic communications for compliance with applicable rules and regs, as well as Firm policy. </li><li>Respond to regulatory inquiries regarding Firm research. </li><li>Respond to client inquiries/surveys regarding the Firm's research. </li><li>Provide training to Research Personnel on an as-needed basis. </li><li>Perform any other related duties as required or assigned. </li></ul> <p>EDUCATION AND/OR EXPERIENCE</p> <ul> <li>Juris Doctorate (J.D.) required. </li><li>3+ years of related experience and/or training. </li><li>Equivalent combination of education and experience. </li></ul> <p>CERTIFICATES, LICENSES, REGISTRATIONS</p> <ul> <li>SIE - Securities Industry Essentials. </li><li>Series 7 - General Securities Representative. </li><li>Series 63 - State Law Exam. </li><li>Series 14 - Compliance Officer Exam preferred. </li><li>Series 24 - General Securities Principal preferred. </li></ul>