Research Supervisory Analyst

Research Supervisory Analyst Service

CRC works with closely with our clients to ensure an efficient and cost effective Supervisory Analyst (“SA”) approval process for equity and fixed income research. With our qualified SAs, we provide research review and approval in an expeditious / time-sensitive manner. We are research experts, providing the highest degree of service levels and the ability to handle demanding deadlines and our clients’ sense of urgency. CRC’s SA Support service is also positioned to help our clients in the following areas:

  • assist your firm’s compliance with documenting and retaining records of analyst public appearances;
  • chaperone interactions between your analysts and your firm’s investment banking or trading personnel;
  • oversee issuer pre-publication fact-checking exercises; and
  • manage periodic analyst certification requirements (e.g., quarterly Reg AC).

How Does it Work?

CRC will register one of our named SAs with your firm, enabling him or her to work either on a full-time, part-time or on an “as needed” basis. Many of our clients leverage our SAs for busy reporting periods and in the event they need extra “bandwidth” or a specific skillset they do not maintain internally.

Building the Business Case for External SA Support:

Full-time SAs often encounter significant periods of downtime. That downtime, of course, is downright expensive. Aside from direct compensation, a full-time employee will likely command a benefits package, occupy company real estate and require attention from other company support areas like HR and IT. Fortunately, there’s a more reasonable alternative – retaining an on-call SA through CRC.

Other Verticals & Services we offer are Financial Services, Anti-Corruption & EthicsTechnology Industry Compliance, Expert Witness Service, and Enterprise Compliance Risk Management.

Contact us to schedule a call/meeting to further determine your individualized needs and requirements.

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