Natacha Hammerstad
Crosby
Summary
FINRA Series 16–licensed Supervisory
Analyst specializing in the supervision and
review of equity research reports. Experienced
in ensuring compliance with regulatory
standards, firm policies, and disclosure
requirements while maintaining the integrity
and clarity of research publications. Adept at
working with analysts, legal, and compliance
teams to manage risk, uphold research
standards, and deliver high-quality financial
communications.
Overview
15
15
years of professional experience
2
2
years of post-secondary education
1
1
Certification
Work History
Supervisor Analyst
Stephens Inc.
Little Rock
06.2017 - Current
- Edit and approve equity research publications; make certain department and regulatory requirements are met for each research report
- Served as a liaison between legal/compliance and research department
- Collect required monthly and quarterly analyst disclosures
- Train new analyst regarding production procedures, and regulations
- Create reports for department and for DOR
Editor
Stephens Inc.
Little Rock
02.2016 - 06.2017
- Edit research publications and marketing materials to improve quality and accuracy. Check for grammar punctuation, spelling organization of ideas and clarity of thought
- Create reports for the department you trying to get in the door was stuck
- Schedule meetings and preform other administrative tasks
- Collect and file required disclosures
Editorial Assistant
Stephens Inc.
Little Rock
06.2013 - 06.2016
- Edited research and marketing materials
- Scheduled meetings
- Collected and filed required disclosures
- Other administrative duties
Research Assistant
Stephens Inc.
Little Rock
12.2010 - 06.2013
- Helped proofread research reports, and marketing materials
- Coordinated travel for analysts
- Updated calendars for covered company events
- Scheduled meetings
- Other administration duties
Education
Bachelor of Science - Global Business Management
University of Phoenix
Tempe, AZ 02.2011 - 02.2013
Skills
Core Skills
- Equity Research Publication Supervision
- Regulatory Compliance Oversight for Investment Research
- FINRA & SEC Research Regulations Knowledge
- Disclosure and Conflict-of-Interest Review
- Supervisory Review of Research Reports
- Research Governance and Publication Standards
- Financial Content Editing and Quality Control
- Cross-Functional Coordination (Research, Legal, Compliance)
- Workflow and Deadline Management for Research Publication
- Policy and Procedure Adherence for Research Distribution
Regulatory Knowledge
- FINRA Rule 2241 (Research Analysts and Research Reports)
- FINRA Research Regulations
- SEC Disclosure Requirements
Technical Skills
- Microsoft Word
- Microsoft Excel
- BlueMatrix Research Publishing Platform
Certification
FINRA Series 16–Supervisory Analyst
Timeline
Supervisor Analyst
Stephens Inc.
06.2017 - Current
Editor
Stephens Inc.
02.2016 - 06.2017
Editorial Assistant
Stephens Inc.
06.2013 - 06.2016
Bachelor of Science - Global Business Management
University of Phoenix
02.2011 - 02.2013
Research Assistant
Stephens Inc.
12.2010 - 06.2013