New York City Metropolitan Area
FINRA Series 16 Supervisory Analyst with a broad background in finance, editing, and analysis (also 20 years as an equity research analyst). Experienced in reviewing and approving research reports. Committed to high standards while balancing strict deadlines and adhering to regulatory requirements. Proven ability to liaise across departments such as marketing, legal, and compliance. Licenses: FINRA Series 7, 16, 63, 79TO, 86, 87.
• Review high-volume research reports and presentations to ensure compliance with industry regulations (FINRA and other applicable) and corporate policies for international clients of the firm. • Work closely with research analysts (including authors with English as a second language) to help rewrite high-impact sections of reports (i.e., cover and executive summary), as well as develop investment theses. Verify stock valuations and other metrics used by analysts. • Coordinate publication with a team of supervisory analysts and production managers worldwide, including the handoff from the New York team to teams in Sydney and Hong Kong. • Provide sole worldwide editorial coverage on Sunday overnight prior to Australia/New Zealand and East Asia Monday morning market opens. • Liaise with the firm’s legal and compliance departments to address material issues related to policies and procedures, as well as with marketing to develop content strategy and enhance brand presence. • Participated in beta testing for rollout of BlueMatrix (publishing, content management, and distribution) platform and suggested changes to content design.
• Reviewed high-volume research reports and presentations to ensure compliance with industry regulations (FINRA and other applicable) and corporate policies for international clients of the firm. • Worked closely with research analysts (including authors with English as a second language) to help develop investment theses. • Coordinated publication with a team of supervisory analysts and production managers worldwide.
• Edited and approved high-volume research reports and presentations via BlueMatrix under deadline-driven environment to ensure FINRA compliance, sound valuation methodology, and persuasiveness of investment themes, as well as organization and structure in accordance with the company’s style guide. • Also served as Senior Equity Research Analyst. Wrote in-depth analysis on more than 20 companies in restaurants and related consumer industries, including publishing equity research, conducting strategic and financial analysis, and providing investment recommendations to institutional and retail investors. Frequent guest on CNBC, Fox Business, and Bloomberg TV, and frequently quoted in The Wall Street Journal, Barron's, and other media. • Marketed with the firm’s sales team through one-on-one client meetings, field trips with company management teams, and industry conferences. • Collaborated with investment banking teams to develop corporate clients and share knowledge.
• Edited equity research reports in other verticals for soundness of investment thesis and marketability in accordance with company style guide, while performing duties as Senior Equity Research Analyst. • Wrote in-depth company coverage and conducted proprietary research, including competitive analysis, macroeconomic and sector-specific datasets, and special reports. • Communicated actionable investment ideas to sales, the firm’s options desk, and institutional clients. • Advised in the company’s investment banking efforts to raise capital for emerging companies.
• Edited equity research reports and macroeconomic notes for the firm’s research team, in addition to performing duties as Senior Equity Research Analyst. • Wrote in-depth company coverage and conducted proprietary research on consumer verticals. • Advised clients on company and industry developments, as well as investment strategies. • Collaborated with the firm’s investment committee, which included the Chief Economist and Chief Market Technician, to determine suitability of coverage. • Managed six freelance workers who performed weekly industry channel checks nationwide to support research effort.