Director - Supervisory Analyst, Equity Research

TD Bank

New York, New York, United States of America
Base: $200,000 - $225,000 usd; bonus/equity: not s...
Finra and ciro compliance
Review research content
Ensure timely release
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

Job Summary

  • 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.
  • Reviews all research intended for the public, including but not limited to notes, reports, marketing presentations, invitations, videos, and podcasts.
  • TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience.

Matching Summary

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.

Salary

Base: $200,000 - $225,000 USD; Bonus/Equity: Not specified; Benefits: Not specified

Skills & Requirements

Must-have

  • FINRA and CIRO compliance
  • review research content
  • ensure timely release
  • edit and proofread reports
  • BlueMatrix publishing system

Nice-to-have

  • meticulous attention to detail
  • conservative mindset
  • strong communication skills
  • collaborate with analysts

Key Requirements

  • Bachelor’s Degree
  • 5+ years Supervisory Analyst experience
  • FINRA Series 16 License
  • CIRO proficiency
  • FINRA eligibility

Work Rights

Not specified

Tailored Resume

Cover Letter