Stephens · 5 days ago
Compliance Counsel, Equity Research and Sales
Little Rock, AR
Full-time
Onsite
Mid Level
3+ years expStephens is a financial services firm, and they are seeking a Compliance Counsel to oversee compliance in Equity Research and Sales. The role involves reviewing equity research reports, providing guidance to research personnel, and responding to regulatory inquiries.
BankingFinanceFinancial Services
Responsibilities
Review and provide approval for Equity Research Reports dealing with "restricted" companies
Provide Guidance to Research personnel on applicable rules and regulations, as well as Firm policy
Review and maintain Research Department Manual
Review electronic communications for compliance with applicable rules and regs, as well as Firm policy
Respond to regulatory inquiries regarding Firm research
Respond to client inquiries/surveys regarding the Firm's research
Provide training to Research Personnel on an as-needed basis
Perform any other related duties as required or assigned
Qualification
Required
Juris Doctorate (J.D.) required
3+ years of related experience and/or training
Equivalent combination of education and experience
SIE – Securities Industry Essentials
Series 7 – General Securities Representative
Series 63 - State Law Exam
Preferred
Series 14 – Compliance Officer Exam preferred
Series 24 – General Securities Principal preferred
Company
Stephens
Stephens is a privately held financial services firm focused on building long-term relationships and long-term results.
1001-5000 employees
Funding
Current Stage
Late StageLeadership Team
Jason Fair
Senior Vice President
August B. Widmer
Investment Banking Vice President
Recent News
Arkansas Business — Business News, Real Estate, Law, Construction
2025-12-22
2025-12-11
2025-12-11
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