Register
Recruit Create CV

Equity Research Compliance Officer Jobs

Compliance Research Analyst Jobs
By Statera Talent At United States
Perform data entry alongside current data quality standards
At least 1 years’ experience in a legal, compliance or risk function within financial services
Ideally experience in one of the following disciplines: Prudential Risk, Regulatory Compliance, Information security, Data Privacy, Technology Risk
Gather regulatory information at the request of clients from a range of sources.
Input necessary regulatory information into the firm’s product, including citations and relevant extracts.
Monitor legal and regulatory developments of assigned regions and industries
Research Compliance Officer Jobs
By General Dynamics Information Technology At , Silver Spring
Knowledge of HSP, bio-safety, and COI requirements
Develop a compliance training program, ensuring it meets regulatory requirements, and ensures that it is completed by appropriate staff members
5-10 years of human subjects/regulatory, and compliance monitoring/oversight experience
Working knowledge of U.S. Federal government regulations regarding the Protection of Human Subjects Involved in Research
Demonstrated expertise in the Human Subject Protection (HSP) regulations with monitoring and compliance program experience
Provide guidance and counsel on incorporating compliance-related activities into the day-to-day operations of the Human Research Protection Program
Research Compliance Analyst Jobs
By Tulane University At , New Orleans
Use excellent time management skills and work on multiple projects on deadline.
Use strong writing skills to convey a professional tone with exceptional attention to grammar, syntax, and spelling.
Proficient knowledge of Microsoft Office Suite (Word, Excel, PowerPoint, Outlook, Teams), Box cloud storage, Zoom videoconferencing, and Adobe Acrobat.
Use of excellent communication and interpersonal skills.
Two or more years of experience as a paralegal, regulatory, compliance, research, or related field.
Ability to learn new software applications.
Research Officer/Analyst Jobs
By JOS Group LLC , SBA 8(a), MBE, DBE, SBE At Washington DC-Baltimore Area, United States

JOS Group is looking to hire a Senior Evaluation/Research Analyst: Job Description: Use a broad range of quantitative and qualitative methods to perform complex analyses, synthesize data, and ...

Educational Equity Officer. Jobs
By State of Colorado At Denver, CO, United States
Demonstrated experience in planning and prioritization of projects, programs and activities, using sound judgment while meeting organizational requirements and maintaining accountability.
Develops program goals and objectives; program metrics and analytics; strategic and tactical short and long-term plans; communications; and reporting requirements/audiences.
Serves as the face of the department for the prioritization of equity across institutions of higher education;
Strong data gathering, data analysis, problem solving and analytical skills;
Designs, champions, and implements CDHE’s diversity and inclusion strategies that drive Department performance, employee engagement, and cross-functional collaboration.
Interprets and advises on current and applicable legislation, guidelines, compliance agencies' interpretations and court decisions;
Research Compliance Case Manager
By Temple University At , Philadelphia, Pa
Experience working with partner organizations to achieve compliance requirements
An equivalent combination of education and experience may be considered.
Experience with research compliance, preferably in an academic environment
Experience managing quality assurance and compliance with program standards
Benefits of working at Temple University include:
Click here to learn more about the benefits of working at Temple University.
Research Compliance Analyst Jobs
By Boys Town At Omaha, NE, United States
Manages the process of sponsored protocol applications.
Ensures programs maintain compliance with PHS Policy, the Animal Welfare Act & Regulations, and other requirements.
Maintains all IACUC records (e.g., membership requirements; protocol, amendment, and annual reviews and approvals; research staff training records; and Interinstitutional Assurances).
Demonstrated knowledge of research compliance, privacy, IRB, HIPAA, NIH and OHRP regulations and policies.
Advanced knowledge and ability to work on Microsoft applications, including Word, Excel, Access, and PowerPoint.
Minimum of 5 years previous relevant experience required.
Equity Research Analyst - State Street Global Advisors, Officer
By State Street Global Advisors At Boston, MA, United States
Special Skills, Knowledge Or Certification/licensure Preferred For Position
: SSGA Company Stock Portfolio Management and Equity Research Analyst
Are you the right candidate? Yes!
About State Street Global Advisors
Inclusion, Diversity and Social Responsibility.
Research Compliance Analyst Jobs
By Boys Town At , Omaha, 68131, Ne
Manages the process of sponsored protocol applications.
Ensures programs maintain compliance with PHS Policy, the Animal Welfare Act & Regulations, and other requirements.
Maintains all IACUC records (e.g., membership requirements; protocol, amendment, and annual reviews and approvals; research staff training records; and Interinstitutional Assurances).
Demonstrated knowledge of research compliance, privacy, IRB, HIPAA, NIH and OHRP regulations and policies.
Advanced knowledge and ability to work on Microsoft applications, including Word, Excel, Access, and PowerPoint.
Minimum of 5 years previous relevant experience required.
Research Compliance Analyst Jobs
By University of California, Riverside At , Riverside, 92521, Ca $56,800 - $99,200 a year
Bachelor's degree in related area and/or equivalent experience/training.
Relevant compliance certification (if applicable).
2 - 4 years of related experience.
UC Riverside is the top university in the United States for social mobility. - U.S. News 2020
Among top-tier universities, UC Riverside ranks No. 2 in financial aid. - Business Insider 2019
UCR's distinguished faculty boasts 2 Nobel Laureates, and 13 members of the National Academies of Science and Medicine.
Rsch Cmplnc Anl 1 (Research Compliance Analyst)
By University of California, Davis At , Davis, 95616, Ca $21.22 - $40.47 an hour
Minimum Knowledge, Skills, and Abilities (KSA) :
Preferred Knowledge, Skills, and Abilities (KSA) :
Bachelor’s degree in related area and / or equivalent experience / training.
Basic knowledge of relevant federal (FDA, OHRP, NIH), state, organizational and system policies, and human subjects research concepts.
Excellent written and oral communication skills (clarity, sentence / paragraph construction and grammar, et cetera).
Problem solving skills; multi- task, work with frequent interruptions, effective listener. Excellent customer service skills, pleasant, helpful, and patient.

Are you looking for an exciting opportunity to join a leading financial services firm as an Equity Research Compliance Officer? We are seeking a highly motivated individual to join our team and help ensure our firm is compliant with all applicable regulations. You will be responsible for monitoring and analyzing equity research activities, conducting investigations, and providing guidance to our research team. If you have a passion for compliance and a desire to make a difference, this could be the perfect job for you!

Overview An Equity Research Compliance Officer is responsible for ensuring that the research conducted by an equity research firm is compliant with all applicable laws and regulations. They are responsible for monitoring the activities of the firm and its employees to ensure that all research is conducted in accordance with the applicable laws and regulations. Detailed Job Description An Equity Research Compliance Officer is responsible for ensuring that the research conducted by an equity research firm is compliant with all applicable laws and regulations. They are responsible for monitoring the activities of the firm and its employees to ensure that all research is conducted in accordance with the applicable laws and regulations. They must be knowledgeable of the laws and regulations that govern the research activities of the firm and must be able to identify any potential violations. They must also be able to provide guidance and advice to the firm’s employees on how to comply with the applicable laws and regulations. Job Skills Required
• Knowledge of applicable laws and regulations governing equity research
• Ability to identify potential violations of applicable laws and regulations
• Ability to provide guidance and advice to employees on how to comply with applicable laws and regulations
• Excellent communication and interpersonal skills
• Strong organizational and problem-solving skills
• Ability to work independently and as part of a team
Job Qualifications
• Bachelor’s degree in finance, accounting, or a related field
• Relevant experience in the financial services industry
• Professional certification such as the Chartered Financial Analyst (CFA) or Certified Regulatory Compliance Professional (CRCP)
Job Knowledge
• Knowledge of applicable laws and regulations governing equity research
• Knowledge of financial markets and instruments
• Knowledge of financial analysis and valuation techniques
• Knowledge of financial accounting and reporting
Job Experience
• Relevant experience in the financial services industry
• Experience in conducting financial analysis and research
• Experience in developing and implementing compliance policies and procedures
Job Responsibilities
• Monitor the activities of the firm and its employees to ensure compliance with applicable laws and regulations
• Identify potential violations of applicable laws and regulations
• Provide guidance and advice to employees on how to comply with applicable laws and regulations
• Develop and implement compliance policies and procedures
• Review research reports for accuracy and compliance with applicable laws and regulations
• Prepare and submit reports to regulatory authorities
• Monitor changes in applicable laws and regulations and update compliance policies and procedures accordingly