Senior Supervisory Analyst – Research Compliance Lead

Testing Site - JPMC; New York (NY); Hybrid; USD 140,000 - 190,000; Full time

Job summary

J.P. Morgan in New York City seeks a Supervisory Analyst/Registered Options Principal to ensure the quality and compliance of our research products. You will work with Americas Equity, Fixed Income, and Derivatives teams to supervise and refine research content.

Responsibilities include reviewing multiple asset classes, ensuring regulatory disclosures, and meeting tight publication deadlines while maintaining high standards of accuracy and clarity.

Qualifications

• FINRA Series 16 required with 7–10 years of supervisory analyst experience, preferably in equity research.
• Series 4 preferred; candidates with Series 7 willing to sit for Series 4 will be considered.
• Strong individual contributor who works well in a fast-paced, high-volume environment.
• Technically savvy and comfortable with HTML publishing systems.

Responsibilities

• Provide supervisory review of Equity, Credit, Economics, Commodities, Technical Analysis, Securitized Products, FX and Rates, and Index Research.
• Conduct options review of Derivatives Research.
• Ensure research complies with FINRA and SEC regulations, firm policies, and procedures, including watch list review and disclosures.
• Collaborate with analysts and associates to meet morning meeting and publication deadlines.
• Review a variety of products including notes, initiations, alerts, reports, emails, podcasts/videos, models, and PowerPoint presentations.
• Rewrite and edit research to meet regulatory requirements and quality standards.

Skills

FINRA Series 16

Series 4 preferred

Series 7 willingness

HTML publishing system

Job description

J.P. Morgan in New York City seeks a Supervisory Analyst/Registered Options Principal to ensure the quality and compliance of our research products. You will work with Americas Equity, Fixed Income, and Derivatives teams to supervise and refine research content.

Responsibilities include reviewing multiple asset classes, ensuring regulatory disclosures, and meeting tight publication deadlines while maintaining high standards of accuracy and clarity.