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Control Room Compliance Analyst/Associate

Business and Financial Operations

New York, NY

Description

Cowen Inc. is seeking an Analyst/Associate 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:

  1. Review and approve Research marketing materials, videos, podcasts and conference calls replays
  2. Review and approve/deny suggestions for compliant posting of Investment Banking marketing materials, social media inserts and Investment Banking external communications targeted at clients
  3. Review and approve public appearances for all registered representatives, working with our media agency
  4. Review and approve Cowen external websites content
  5. Review and approve Cowen social media platforms content
  6. Integration of third-party materials, icons and platforms into Cowen marketing materials
  7. Handling regulatory inquiries related to marketing/social media
  8. 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

 Who We Are:

Cowen Inc. (“Cowen” or the “Company”) is a diversified financial services firm offering investment banking services, equity and credit research, sales and trading, prime brokerage, global clearing, commission management services and actively managed alternative investment products. Cowen focuses on delivering value-added capabilities to our clients in order to help them outperform. Founded in 1918, the Company is headquartered in New York and has offices worldwide.

At Cowen, inclusion and diversity are catalysts for success and innovation in everything we do. We pride ourselves on our empathetic and collaborative culture, where the power of diversity is harnessed to transform the status quo. Our focus on inclusion expands our thinking in order to generate better outcomes for clients, while striving to increase fairness and equity for our colleagues. Cowen’s vision of creating a more inclusive and equitable future is supported by our core values and is essential to our ability to outperform.

Our Values:

  • Vision: We consistently deliver differentiated and disruptive insights that help our clients outperform
  • Empathy:  We proactively consider and account for the priorities and concerns of our colleagues and clients
  • Sustainability: We endeavor to produce ideas and solutions that are ethically grounded and aim to pass the test of time
  • Tenacious Teamwork: We elevate collaboration to new levels, empowering our ability to provide the best solutions for our clients.

Learn more at: https://www.cowen.com/ and https://www.linkedin.com/company/cowen-inc/

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Protect Yourself from Recruitment Fraud. Recruitment fraud can be attempted through fake job postings, fake websites (posing as a Company) or unauthorized individuals impersonating recruiters (even using employee names). Depending on the role, Cowen will ask candidates to complete 2-4 interviews with Cowen employees before receiving an offer for employment. All communication regarding the interview process will come from an @cowen.com or @greenhouse.io email address. At no time throughout the hiring process will a Cowen recruiter or Human Resource Professional request any type of payment in order to be considered for the role. In addition, candidates will not be asked to submit personal information as a pre-requisite for the interview process.