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Compliance Pro-Tip: Lowering Your Research Costs

Compliance Pro-Tip: Lowering Your Research Costs

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February 28, 2017

Looking for an easy way to lower the operating costs of your Research Department? Consider outsourcing your Supervisory Analyst function. Chances are, you can save quite a bit. And with CRC, you won’t sacrifice an ounce of speed or quality.

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.

jeanine-oberachyWhen considering a Compliance Advisory firm like CRC, experience is key. CRC’s Supervisory Analyst practice is led by Ms. Jeanine Oburchay who is fully qualified by license (Series 7, 24 and 87) and has the know-how to immediately make a positive impact on both your product quality and your bottom line. As a veteran of more than 17 years on Wall Street, primarily as a sell-side research analyst covering equities and convertibles, Jeanine is well-versed in all aspects of a Research Department’s mission and operational flow. Jeanine had also served as a registered SA with Wachovia Securities where she was responsible for reviewing and approving research reports for a department that published daily morning calls, weekly research publications, new initiations of coverage and timely market responses. Jeanine earned her BS in Finance and her MA in Public Communications from Fordham University and her MBA from Pace University.

All too often, SAs tend to stick to a single function – reviewing and approving research reports. CRC’s SA services, though, can also:

  • 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).

Budgeting for a research department of any size can be a costly prospect. Retaining an outsourced SA will free up resources to redirect toward more productive pursuits such as hiring additional publishing analysts or growing the size of your compensation pool. Or, of course, you can simply save the extra cash and take credit for a budget triumph.

CRC’s SA services can help you cut costs, increase efficiencies and improve your research product. For a more detailed description of CRC’s full array of services and of its professional staff contact, David Amster, Principal and Head of CRC’s Fund and Dealer Advisory practice at 917-568-6470.



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