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Equity Research SME:Milwaukee

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  • Lorven Technologies
    Hi, My Client has a immediate need for a Equity Research SME. Please send in resumes along with all details ASAP. *Role:* *Senior Equity Research SME* * *
    Message 1 of 1 , Aug 1, 2010



      My Client  has a immediate need for a Equity Research SME. Please send in resumes along with all details ASAP.



      Role: Senior Equity Research SME


      Location:  Milwaukee

      Rate: DOE + travel

      Interview: Immediate


      Senior, equity research SME needed to review existing research policy and procedures from a compliance perspective for a mid size broker dealer. 

      Responsibilities to include:

      -        review  the firm’s existing research policies and procedures

      -        review supervisory policies and procedures, supervisory checklists, reports, etc. related to equity research

      -        update existing procedural manuals to reflect current regulatory requirements


      Skills required:


      • Knowledge of the current regulatory environment (policies and procedures) pertaining to equity research
      • 7 – 10  years + experience in Equity research environment – management, compliance, etc.
      • Excellent writing skills.  Experienced in policy and procedure writing.
      • Excellent communication skills.  Ability to work well with research analysts, department heads, and Compliance Director.


      Other Requirements:


      • Must be willing to travel to and work in Milwaukee.  Flexible working arrangements- home on weekends, work 1 day at home, etc.


      Thanks & Regards
      Lorven Technologies Inc,
      101, Morgan Lane, Suite 209
      Plainsboro, NJ-08536
      Work : 609-799-4202 X 102
      Fax: 609-799-4204/609-918-9608
      Email: mayur@...
      Web: www.lorventech.com

      Lorven Technologies, Inc. is  SBE/MWBE Certified

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