Director - Supervisory Analyst, Equity Research

TD•Boston, MA

20d•$200,000 - $225,000

About The Position

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 -Thursday 6PM – 2AM ET, Sunday

Requirements

Bachelor’s Degree
5+ years of experience as a Supervisory Analyst at a securities firm
FINRA Series 16 License Required
Partners, Directors and Senior Officers (PDO) exam (CIRO)
Ability to prioritize and work on multiple projects while working under tight deadline pressure
Strong editing and proofreading skills
Highly organized approach to work with a meticulous attention to detail, especially during busy periods
Strong written communication skills to convey messages, suggestions, and concerns clearly and effectively to team members
Knowledge of Microsoft Word, PowerPoint, and some Excel
Conservative mindset when reviewing materials from a compliance, regulatory, and reputational perspective

Nice To Haves

Knowledge of BlueMatrix publishing system preferred

Responsibilities

Reviews all research intended for the public, including but not limited to notes, reports, marketing presentations, invitations, videos, and podcasts
Review 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 public
Ensures timely release of all research
Ensures content of research reports is clear, fair, and not misleading
Confirms 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 conveyed
Validates that financial figures and estimates are applicable to the report and are properly updated throughout the template
Ensures proper company and other disclosures are present in reports and adhere to regulatory requirements
Determines that information presented is publicly available and appropriately attributed, particularly when commenting on actual or possible corporate activity that could involve conflicts of interest
Functions as a proficient user of the firm’s research publishing system (BlueMatrix) to confirm research reports are properly scheduled and distributed to subscribers
Liaises 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