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Compliance Analyst, Equities

Janney Montgomery Scott LLC, 1717 Arch Street, Philadelphia, Pennsylvania, United States of America Req #363
Thursday, February 6, 2020
Janney is an award-winning full-service financial services firm committed to understanding our clients' needs and providing advice beyond investments.  We are equally committed to building a diverse workforce and inclusive culture where employees can use their talents to thrive and grow professionally with the firm.


The individual selected for this role will be responsible for performing the core Compliance investment banking and research monitoring and equity trading related functions in a timely, professional, and consistent manner.

This position is directly accountable for ensuring regulatory compliance on matters related to insider trading, permissible communications, and conflicts of interest.


Responsibilities Include:


  • Will be responsible for investment banking and research compliance matters including watch and restricted list maintenance, chaperoning Investment Banking/research interactions, and review of marketing materials
  • Maintenance of Restricted Lists, management of information barriers, research pre-clearance, conflict management and research disclosures
  • Provide ongoing advice and resources to management for compliance issues related to conflicts of interest
  • Administration of chaperoned call process as well as “Chaperoning” of permissible communications between Investment Banking and Research
  • Work with other members of the Compliance team to achieve departmental goals
  • Working with the Capital Markets Compliance Manager, develop and implement policies and procedures
  • Provide compliance training to Capital Markets personnel
  • Work closely with Legal to interpret and execute various regulatory/compliance issues
  • Provide guidance on compliance with laws regulations and policies relating to sharing of information, insider trading and conflicts of interest
  • Daily in-person interaction with internal clients on matters related to compliance activities


Required Experience:


  • Bachelor's degree preferred or equivalent experience
  • FINRA Series 7 & 66 Securities License preferred; or the ability to obtain with the first 6 months of employment
  • 1 -3 years’ Legal, Regulatory or Compliance experience


Required Skills:


  • Ability to exercise independent discretion and judgment
  • Strong initiative and time management skills
  • Knowledge of the broad range of business areas particularly in investment banking, capital markets and research products and practices.
  • Ability to build and sustain strong relationships with business managers and external authorities through diligence, expertise and personal skills
  • Knowledge of relevant regulatory development and market practice
  • Ability to operate at both a detailed and a strategic level
  • Strong communication and presentation skills

Janney is dedicated to promoting and supporting diversity within our workplace.  We provide an environment that promotes respect, integrity, teamwork, achievement and acceptance regardless of age, disability, education, gender, gender expression, gender identity, job level, marital status, military status, national origin, parental status, pregnancy, race, religion, sexual orientation, socioeconomic status, or other protected factors. Janney is committed to equal employment opportunities and providing reasonable accommodations to applicants with physical and/or mental disabilities.

  • Janney Montgomery Scott LLC, 1717 Arch Street, Philadelphia, Pennsylvania, United States of America