Senior Associate/VP- Compliance Officer, Equity Research

About the Role

Wolfe Research is seeking an experienced Compliance Officer to work alongside a team of six Legal and Compliance professionals in building and maintaining extraordinary broker-dealer and investment adviser compliance programs at a dynamic and fast-growing research firm.

The Compliance Officer will coordinate, recommend, and execute plans to address potential issues, fulfill regulatory obligations, and promote best practices.

In addition to being highly analytical and detail-oriented, the ideal candidate will provide real-time advice and support to key front office personnel in a fast-paced environment and will have prior broker-dealer Equity Research Compliance experience and be comfortable interacting directly with all levels of management.

Responsibilities :

• Collaborate with various teams in gathering information for submission of periodic compliance deliverables to clients and regulatory examinations
• Executing the end-to-end process for regulatory engagements, including reviewing examination requests, advising internal stakeholders, and reviewing and obtaining approval for regulatory submissions
• Fact-finding, upon the direction of the CCO, on new initiatives, compliance-themed industry requirements, and risk alerts
• Provide Compliance advice and guidance with respect to Information Barriers and Investment Banking Conflicts of Interest, including updating the Firm's Watch / Restricted lists
• Own the processes related to Compliance surveillance modules
• Identifying, escalating, and developing solutions for potential regulatory risks
• Input updates into SEC IARD, FINRA Gateway, and the NFA systems
• Provide advice to the Business re : research products and new initiatives
• Work closely with the small team of Legal and Compliance professionals to analyze and create processes for new Business initiatives
• Develop, implement and train on the firm's policies and procedures

Requirements and Qualifications :

• Bachelor's degree required
• 4+ years of compliance or legal-related experience in financial services with a focus on Research and Investment Banking and Control Room preferred
• Strong understanding of SEC, FINRA rules / regulations, industry practice, and how to apply these to the firm's business model
• Strong understanding of the Global Research Settlement
• Possess a general understanding of the current regulatory environment and financial markets and / or securities regulations and rules
• Proactive and willing to take on issues / responsibilities that require focus and determination
• Ability to work as a member of a team in a high-pressure, fast-paced environment
• Detail-oriented with ability to multitask, organize and prioritize
• Strong interpersonal and written / verbal communication skills
• Strong analytical, problem-solving and organizational skills

Preferred Skills and Qualifications :

• Experience with the NFA, SEC and / or FINRA examinations
• Track record of working with vetting expert networks and industry professionals
• Involvement with regulatory elements of a Registered Investment Advisor
• Regulatory exams : Series SIE, 7, and 24, and / or Series 14
• Experience working with a quantitative research team and understanding of cybersecurity protocols and procedures within a financial services environment.

At Wolfe Research we feel passionately about equal pay for equal work and pay transparency is an integral practice for that.

The compensation for this role is market competitive with a base salary range of 110,000-130,000. We intend to offer the selected candidate a base salary within this range, based on non-discriminatory factors including but not limited to skill set, job-related experience, and location.

In addition, we offer an annual discretionary incentive bonus and competitive employee benefits including : medical, dental and vision coverage;

life, accident and disability insurance. Wolfe also offers paid time off packages that include vacation, sick days / leave, paid holidays and paid parental leave.

Wolfe Research

Wolfe Research, LLC was founded in 2008 as a premier equity research firm with a commitment to best-in-class products and service.

Wolfe Research was voted #6 on both a weighted and unweighted basis for equity research during 2023 by institutional clients in the prestigious Institutional Investor All-America Research Poll, trailing only significantly larger bulge bracket firms, who have historically not been viewed as our peers.

We are committed to acquiring top-ranked Analysts (28 and counting) across all industry sectors. In addition, Wolfe is a mentoring shop dedicated to developing talent from within all levels of the firm.

For more information about Wolfe Research, please visit us at : www.wolferesearch.com

We strive for excellence in every facet of our business, and we will continue to differentiate ourselves by maintaining the highest standards for effort, client service, thoughtfulness, and integrity.

Wolfe remains committed to providing a home for the top-ranked, most innovative and inspired analysts and sales people, and places significant emphasis and resources on mentoring talent.

Wolfe Research recruits, employs, trains, compensates and promotes regardless of race, religion, color, national origin, gender identity or sexual orientation, disability, age, citizenship or other characteristics.

At Wolfe Research, we strive to be the place where a diverse mix of talented people want to come, to stay and do their best work.

We pride ourselves on bringing integrity and objectiveness to our research process and we know our company's biggest strength is the hard work, collaboration and diverse views and opinions of our passionate and creative employees.

We are fully focused on equality and believe deeply that diversity of race, gender, sexual orientation, religion, ethnicity, national origin and all the other fascinating characteristics that make us different, also make us stronger.