Equity Research Supervisory Analyst

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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 candidates 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:

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.

With more than 6500 professionals operating out of 40 cities across the globe we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues providing trusted advice and industry-leading insight extending access to global markets and delivering integrated transaction banking 2023 we acquired Cowen Inc. offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise while growing our strong diversified investment bank.

We are growth-oriented people-focused and community-minded. As a team we work to deliver value for our clients every day.

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

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 firms 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:

• Bachelors Degree
• 5 years of experience as a Supervisory Analyst at a securities firm
• FINRA Series 16 License Required
• Holds 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 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

#Li-onsite

Who We Are:

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. With more than 6500 professionals operating out of 40 cities across the globe we strive to make every interaction product and experience remarkably human and refreshingly simple. Our services include underwriting and distributing new issues providing trusted advice and industry-leading insight extending access to global markets and delivering integrated transaction banking 2023 we acquired Cowen Inc. offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise while growing our strong diversified investment bank.

Together we are reimagining what banking can be for our clients colleagues and communities.

Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial physical and mental well-being goals. Total Rewards at TD includes a base salary variable compensation and several other key plans such as health and well-being benefits savings and retirement programs paid time off banking benefits and discounts career development and reward and recognition programs. Learn more

Additional Information:
Were delighted that youre considering building a career with TD. Through regular development conversations training programs and a competitive benefits plan were committed to providing the support our colleagues need to thrive both at work and at home.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations requirements.

Colleague Development

If youre interested in a specific career path or are looking to build certain skills we want to help you succeed. Youll have regular career development and performance conversations with your manager as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities.

If youre passionate about helping clients and building deep lasting relationships TD offers diverse career paths where you can grow your expertise and make a meaningful impact.

Were committed to your success and foster a respectful workplace where diverse perspectives are valued everyone has fair opportunities to grow and you can unlock your full potential to achieve your career goals. Here at TD we hire and develop the best.

Training & Onboarding
We will provide training and onboarding sessions to ensure that youve got everything you need to succeed in your new role.

Interview Process
Well reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation
Your accessibility is important to us. Please let us know if youd like accommodations (including accessible meeting rooms captioning for virtual interviews etc.) to help us remove barriers so that you can participate throughout the interview process.

We look forward to hearing from you!

Language Requirement (Quebec only):