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; regulatory compliance processes
Domain
Financial Services / Equity Research / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Equity Research governance, SEC/FINRA regulatory knowledge, risk assessment, management reporting, regulatory examination coordination, vendor management, strategic planning, process improvement
Preferred skills
Supervisory analyst experience, technology platform governance, budget management
Technologies
Risk management platforms, reporting dashboards, vendor management systems
Responsibilities
Maintain research governance, risk, and control framework; lead RCSA process; identify and escalate risks; coordinate regulatory examinations and audits; advise leadership on regulatory matters; manage vendor and technology relationships; support strategic initiatives and budget management
Seniority
Senior, hands-on IC with strategic advisory