Control Room Compliance Analyst

Business and Financial Operations

New York, NY

Cowen Inc. is seeking an Analyst to join its Control Room within the Compliance Department in New York.

The primary area of responsibility will focus on core Marketing Compliance functions which include, but are not limited to:

  • Review and approve Research marketing materials, videos, podcasts and conference calls replays
  • Review and approve/deny suggestions for compliant posting of Investment Banking marketing materials, social media inserts and Investment Banking external communications targeted at clients
  • Review and approve public appearances for all registered representatives, working with our media agency
  • Review and approve Cowen external websites content
  • Review and approve Cowen social media platforms content
  • Integration of third-party materials, icons and platforms into Cowen marketing materials
  • Handling regulatory inquiries related to marketing/social media
  • Providing training, advice and guidance to business partners related to marketing and communications with public.

Additional responsibility will be performing core Compliance “Control Room” functions which include, but are not limited to maintaining the Firm’s Watch and Restricted Lists, chaperoning interaction between Research and Investment Banking personnel, conflict management, and providing advice and guidance to business partners.

Working Hours: 9am to 6pm in the office, flexibility required.

Requirements

The following are the minimum requirements for the position

  • Two years of experience in Marketing Compliance, will consider other relevant experience.
  • A working knowledge of applicable FINRA rules, SEC rules, and relevant industry standards Including Communication with the Public rules
  • Ability to work independently as well as part of a team
  • Highly organized, detail oriented and proactive
  • Ability to comfortably interact with professionals and clients in a professional setting
  • High levels of ethics, integrity and judgment
  • Strong verbal and written communication skills
  • Willing to work flexible hours and weekends on rotation basis
  • Series 7, 63, and 24 preferred or obtained within one year of hire date

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