Director - Supervisory Analyst, Equity Research

Work Location:New York, New York, United States of AmericaHours:40Line of Business:TD SecuritiesPay Detail:$200,000 - $225,000 USDTD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.Job Description:The Supervisory Analyst - Research provides a high-quality and timely review of all products across the global research platform, ensuring that all research is compliant with FINRA, CIRO, and jurisdictional rules and regulations and company policies and procedures.Working hours for this position are:4PM - 12AM ET, Monday -Thursday6PM - 2AM ET, SundayDepth & Scope:Reviews all research intended for the public, including but not limited to notes, reports, marketing presentations, invitations, videos, and podcastsReview includes editing and compliance oversight of research to adhere to FINRA, CIRO, and jurisdictional rules and regulations, as well as company policies, before approval and release to the publicEnsures timely release of all researchEnsures content of research reports is clear, fair, and not misleadingConfirms the investment thesis and valuation of an equity security are clearly presented, justifiable, and form a reasonable basis for any rating. Research reports should be balanced in their language and presentation with risks to the investment properly conveyedValidates that financial figures and estimates are applicable to the report and are properly updated throughout the templateEnsures proper company and other disclosures are present in reports and adhere to regulatory requirementsDetermines that information presented is publicly available and appropriately attributed, particularly when commenting on actual or possible corporate activity that could involve conflicts of interestFunctions as a proficient user of the firm's research publishing system (BlueMatrix) to confirm research reports are properly scheduled and distributed to subscribersLiaises with research analysts over issues such as wording of content and regulatory concerns, numerical inconsistencies, as well as the logic and clarity of their arguments Education & Experience:Bachelor's Degree5+ years of experience as a Supervisory Analyst at a securities firmFINRA Series 16 License RequiredHolds, or is willing to obtain within six months, CIRO-recognized proficiency for research approval (e.g., valid PDO under current CIRO transition and expiry rules, or new CIRO Supervisor Exam)Ability to prioritize and work on multiple projects while working under tight deadline pressureStrong editing and proofreading skillsHighly organized approach to work with a meticulous attention to detail, especially during busy periodsStrong written communication skills to convey messages, suggestions, and concerns clearly and effectively to team membersKnowledge of Microsoft Word, PowerPoint, and some ExcelKnowledge of BlueMatrix publishing system preferredConservative mindset when reviewing materials from a compliance, regulatory, and reputational perspectiveOCC Language:This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered position under FINRA.Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to investigate the good character, business reputation, qualifications and experience of an applicant for registration before applying to register the applicant with FINRA and filing the applicant's Form U4 with the CRD, and before representing on the applicant's Form U4 that it has conducted this investigation and verified the accuracy and completeness of the information contained in the applicant's Form U4; and the Firm's obligation to verify the accuracy and completeness of the information contained on the applicant's Form U4, no later than 30 calendar days after the Form U4 is filed with FINRA.Satisfactory results on a criminal background check, credit report check, civil litigation search, and regulatory agency or self-regulatory organization enforcement action search, and statements/certification from job applicant regarding administrative, civil, and/or criminal findings by any government agency/authority or self-regulatory organization, are required by federal law for this position.Phys Apply tot his job Apply To this Job