Supervisory Analyst (Part-Time)
Cleveland Research Company
Summary
Cleveland Research Company, LLC, a registered Broker Dealer and Investment Advisor, is seeking a qualified candidate to help promote and maintain the firm's culture of regulatory compliance. The Supervisory Analyst is a key resource for the firm by reviewing and approving a high volume of equity research content.
Job description
Responsibilities
- Adhere to all regulatory and compliance requirements
- Provide supervisory approval for written research products prior to client dissemination
- Review for content quality and adherence to relevant regulations and business standards
- Ensure appropriate disclosures are included for all approved products
- Multi-task with the ability to review multiple reports while communicating effectively with analysts and team members
- Assist with FINRA exams as applicable
- Assist with annual compliance reporting requirements
- Prompt escalation of any potential issues to CCO
- Develop and maintain positive working relationships with internal clients, staff, and peers
- Other duties as assigned to support the CCO and Compliance Team
Required Qualifications
- 3 – 5 years prior Supervisory Analyst experience and Undergraduate degree
- Active FINRA Registrations (SIE, 7, 24 and 16 OR 86/87) required
- Working knowledge of FINRA and SEC regulations related to equity research content and practices (i.e., 2241, 2210, Reg AC, etc.)
- Critical thinking skills and high attention to detail
- Outstanding time management skills in a fast-paced environment with the flexibility to work outside regular work hours if/when needed
- High ethical standards
- Able to communicate with all levels of staff effectively, both written and verbally
- Strong technical skills (Outlook, Word, Excel, PowerPoint, Singletrack web-based publishing platform, other)
Requirements
- 3 – 5 years prior Supervisory Analyst experience
- Undergraduate degree
- Active FINRA Registrations (SIE, 7, 24 and 16 OR 86/87)
- Working knowledge of FINRA and SEC regulations related to equity research content and practices
- Critical thinking skills and high attention to detail
- Outstanding time management skills
- High ethical standards
- Effective written and verbal communication
- Strong technical skills (Outlook, Word, Excel, PowerPoint, Singletrack)
Benefits
- Competitive salary
- Bonus potential
- Paid time off
- 401(k)
- TASC eligible
Company overview
Cleveland Research Company (CRC) is an independent research firm headquartered in Cleveland, Ohio, founded in 2006 by Eric Bosshard and Chris Byke. The company specializes in providing unparalleled market intelligence and equity research services across multiple sectors including consumer goods, technology, healthcare, agriculture, industrial, retail, and foodservice. CRC operates with a unique research methodology that combines ground-level channel intelligence with macroeconomic analysis to identify market trends and inflection points earlier than traditional research providers. The firm offers three core service lines: Equity Research for investment decision-making, Market Research for business strategy development, and Advisory Services for high-stakes business decisions. With a team of over 100 professionals, CRC maintains a disciplined research process that engages directly with industries and companies under coverage, providing unbiased insights without investment banking relationships or trading desks. The company's limited distribution model ensures exclusive competitive advantages for its clients, who benefit from CRC's extensive network of industry contacts and proprietary data analysis capabilities.