Vice President, Equity Research Controls and Business Management
Core
Primary governance, controls, and business management partner for the US Equity Research organization, ensuring the platform operates in a controlled, efficient, and scalable manner.
Role type
Senior IC Vice President (Equity Research Controls & Business Management)
Builds
Governance, risk, and control frameworks; management reporting; process improvements; strategic initiatives for the Equity Research franchise.
Domain
Financial Services / Equity Research / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Equity Research governance, regulatory compliance (SEC/FINRA), risk assessment, management reporting, stakeholder management, strategic planning, vendor management, budget management
Preferred skills
Series 16 registration, Supervisory Analyst experience, BlueMatrix platform experience, technology automation leadership
Technologies
Microsoft Office (Excel, PowerPoint), BlueMatrix
Responsibilities
Maintain Research governance, risk, and control framework; lead RCSA process; identify and escalate risks; develop management reporting and KPIs; coordinate regulatory examinations and audits; advise leadership on regulatory matters; manage vendor and technology relationships; support budget management and strategic initiatives.
Seniority
Senior, hands-on IC with strategic advisory duties