Supervisory Analyst Review

Supervisory analyst support for global financial services firms

Supervisory Analyst Review Services

Supervisory Analyst (SA; series-16 qualified) review and approval has become a bottleneck for timely publication of reports and an area where costs have increased as experienced SAs have become difficult to hire and retain. In an environment where time-to-market is key, a resource needs to be available to review and process reports as and when analysts submit them. At Acuity Knowledge Partners, we provide SA services to sell-side firms. We offer several support models, including full-time and part-time support, depending on client requirements, in an effort to provide flexible yet reliable services at reasonable costs.

We, at Acuity Knowledge Partners, have been working with financial content for over 15 years. Our large Research Publishing team of Supervisory Analysts (SAs), Editors and Formatting and Publishing Specialists can review, approve and publish your reports, meeting tough deadlines in a fast-paced work environment and amid a heavy flow of content

Given our team size and experience, we are able to staff an engagement fairly quickly, need very little hand-holding and can hit the ground running on most projects.

Our Supervisory Analysts come from tier-1 sell-side firms; we understand the SA market in India

Our Editors have 10 years of editing experience, on average; most of them hold postgraduate degrees in English or Finance and have worked as journalists at reputed international news organisations or as editors at global financial services firms. Besides reviewing content for language, structure and logic, our editors understand regulatory issues, and are able to work on and iron out concerns with analysts and compliance. We, therefore, can also offer Senior Editors eligible to appear for the series-16 exam.

Our Formatting and Publishing Specialists have 12 years of experience, on average, in formatting and publishing reports and marketing material.

Who we serve

Supervisory Analyst - Support We offer

  • Ensure compliance with firm's guidelines and regulatory requirements

  • Ensure recommendations are substantiated by relevant data and rationales are logical, realistic and include an assessment of risks

  • Assess the accuracy of data

  • Ensure rating conformity with the firm’s rating system

  • Make a list of material mentions (stocks with an investment view) in the research report

  • Review the list against Restricted lists and the client’s internal restrictions

  • Coordinate compliance approval for restricted mentions (with Compliance and the analyst)

  • Add additional disclosures, if required

  • Ensure prominence of disclosures and proper separation of disclosures and other disclaimers Ensure inclusion of relevant disclosures

Supervisory Analyst - Support We offer

  • Ensure compliance with firm's guidelines and regulatory requirements

  • Ensure recommendations are substantiated by relevant data and rationales are logical, realistic and include an assessment of risks

  • Assess the accuracy of data

  • Ensure rating conformity with the firm’s rating system

  • Make a list of material mentions (stocks with an investment view) in the research report

  • Review the list against Restricted lists and the client’s internal restrictions

  • Coordinate compliance approval for restricted mentions (with Compliance and the analyst)

  • Add additional disclosures, if required

  • Ensure prominence of disclosures and proper separation of disclosures and other disclaimers Ensure inclusion of relevant disclosures

How we are different

RESEARCH PEDIGREE
RESEARCH PEDIGREE
Over 15 years’ experience in providing Research Publishing support to banks globally
NEARSHORE CAPABILITIES
NEARSHORE CAPABILITIES
50+-member team of Supervisory Analysts, editors, and formatting & design specialists based in Bangalore (India), Colombo (Sri Lanka) and San Jose (Costa Rica)
PROCESS OPTIMISATION
PROCESS OPTIMISATION
Work across the Research Publishing life cycle: design templates, and edit, format, Supervisory Analyst approve, and publish/disseminate research
TECHNOLOGY
TECHNOLOGY
Experience with various third-party/in-house Research Publishing platforms – FactSet Partners, Blue Matrix and BlueCurve
SCALABILITY
SCALABILITY
Ability to hit the ground running. Successfully transitioned and execute multiple engagement models: (1) lift-and-shift of in-house Publishing teams; (2) supplement onshore Publishing teams and (3) support clients that don’t have onshore teams

What we have done

Support for Consulting and Corporate Firms
Research Publishing with supervisory analyst support for an EMEA-based bank
What we are proud of

25+

client analysts supported

SA, editing, formatting and publishing, and platform administration

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