Job Description

Equity Research Supervisory Analyst

Texas Capital is built to help businesses and their leaders. Our depth of knowledge and expertise allows us to bring the best of the big firms at a scale that works for our clients, with highly experienced bankers who truly invest in people's success today and tomorrow.

While we are rooted in core financial products, we are differentiated by our approach. Our bankers are seasoned financial experts who possess deep experience across a multitude of industries. Equally important, they bring commitment investing the time and resources to understand our clients' immediate needs, identify market opportunities and meet long-term objectives. At Texas Capital, we do more than build business success. We build long-lasting relationships.

Texas Capital provides a variety of benefits to colleagues, including health insurance coverage, wellness program, fertility and family building aids, life and disability insurance, retirement savings plans with a generous 401K match, paid leave programs, paid holidays, and paid time off (PTO).

Headquartered in Dallas with offices in Austin, Fort Worth, Houston, Richardson, Plano and San Antonio, Texas Capital was recently named Best Regional Bank in 2024 by Bankrate and was named to The Dallas Morning News' Dallas-Fort Worth metroplex Top Workplaces 2023 and GoBankingRate's 2023 list of Best Regional Banks. For more information about joining our team, please visit us at

Job Summary

The Equity Research Supervisory Analyst will be responsible for reviewing and approving investment research reports before they are distributed to clients. The main role is to ensure that all research content complies with regulatory requirements, internal policies, and industry standards - particularly as set by FINRA.

Responsibilities

• Regulatory Compliance: Ensure research reports meet FINRA Rule 2210 and 2241, SEC regulations, and other applicable standards
• Content Review: Check for balanced presentation of risks and rewards, accurate use of facts, and proper disclosures
• Approval Authority: Sign off on all published research to certify compliance
• Liaison Role: Coordinate between research analysts, legal/compliance team, and publishing platforms; managing and prioritizing workload, while recognizing the commercial importance of accuracy and timeliness.
• Training and Guidance: Provide compliance training and ongoing guidance to equity research analysts

Qualifications

• Strong communication skills, working in a team environment across various internal departments.
• Strong understanding of FINRA regulations associated with research analysts and broadly across the company.
• Prior experience as a Supervisory Analyst required.
• Management experience leading a team of SA's and editors required.
• Proficient in the use of various applications, such as: Blue Matrix, Excel, Word, PowerPoint, FactSet and Bloomberg.
• FINRA licenses required: Series 4, 16 and 24.
• Potential for expanded responsibilities supporting sales, research and compliance teams.

The duties listed above are the essential functions, or fundamental duties within the job classification. The essential functions of individual positions within the classification may differ. Texas Capital Bank may assign reasonably related additional duties to individual employees consistent with standard departmental policy. Texas Capital is an Equal Opportunity Employer.

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