Vice President, Equity Research Controls & Business Management Greater New York City, NY Area

The Company is in search of a Vice President for Equity Research Controls and Business Management. This pivotal role is the primary governance, controls, and business management partner for the US Equity Research organization. The successful candidate will be at the forefront of ensuring the research platform operates in a controlled, efficient, and scalable manner, advising on a range of matters from regulatory to strategic. Key responsibilities include maintaining the research governance, risk, and control framework, leading the RCSA process, and coordinating various assurance activities. The role also involves supporting strategic initiatives, managing vendor relationships, and promoting a culture of accountability and effective governance. Applicants must have a Bachelor's degree in a relevant field, with 7-10 years' experience in a similar capacity within an equity research environment. A strong understanding of SEC and FINRA requirements, particularly those related to equity research, is essential. The role requires excellent analytical, communication, and stakeholder management skills, as well as advanced proficiency in Microsoft Office. The ideal candidate will have a Series 16 registration, experience as a Supervisory Analyst, and a background in leading technology or business transformation initiatives. The position offers a unique opportunity to influence the organization's governance framework and strategic priorities while partnering with senior management and stakeholders across the firm.

Hiring Company

MUFG