Director, Equity Research - Supervisory Analyst

Work Location : San Francisco, California, United States of America Hours: 40 Line of Business: TD Securities Pay Detail: $200,000 - $225,000 USD TD 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 Equity Research 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. Depth & Scope: 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 Education & Experience: 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 juggle several 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 Knowledge of BlueMatrix publishing system preferred Conservative mindset when reviewing materials from a compliance, regulatory, and reputational perspective OCC 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. Physical Requirements: Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100% Domestic Travel – Occasional International Travel – Never Performing sedentary work – Continuous Performing multiple tasks – Continuous Operating standard office equipment - Continuous Responding quickly to sounds – Occasional Sitting – Continuous Standing – Occasional Walking – Occasional Moving safely in confined spaces – Occasional Lifting/Carrying (under 25 lbs.) – Occasional Lifting/Carrying (over 25 lbs.) – Never Squatting – Occasional Bending – Occasional Kneeling – Never Crawling – Never Climbing – Never Reaching overhead – Never Reaching forward – Never Pushing – Never Pulling – Never Twisting – Never Concentrating for long periods of time – Continuous Applying common sense to deal with problems involving standardized situations – Continuous Reading, writing and comprehending instructions – Continuous Adding, subtracting, multiplying and dividing – Continuous The above statements are intended to describe the general nature and level of work being performed by people