Supervisory Analyst - Equity Research

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Job Description:

Department Overview:

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 6,500 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 solutions. In 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.

Job Description:

TD Cowen is looking for a full-time Supervisory Analysts to work in its equity research department supporting the firm's research analysts covering 1300+ stocks across a broad range of industry sectors in the US and Canada. The position will work remotely in the afternoons/evenings.

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.

Responsibilities:

Primary responsibilities are reviewing and approving daily research notes to ensure that they comply with FINRA/CIRO regulations and company policies. Additional hours during peak times are required, and occasional weekend coverage may be needed during conferences. This position also requires editing/production/SA review of large quarterly and semi-annual publications, initiations, industry reports, video scripts, and marketing materials. Workflow varies daily and seasonally.

Requirements and Qualifications:

The following are the minimum requirements for the positions:

• FINRA Series 16 registered
• Minimum of five years of experience as a supervisory analyst
• Already completed, or is willing to complete, Partners, Directors and Senior Officers (PDO) exam (CIRO)
• Strong editing and proofreading skills
• Ability to prioritize tasks and under tight deadlines
• Strong decision-making skills and ability to work independently
• Strong verbal and written communications skills (interaction with research analysts, Control Room, and marketing department)
• Knowledge of Microsoft Word, PowerPoint, and some Excel
• Knowledge of BlueMatrix publishing system preferred

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.

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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 6,500 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 solutions. In 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.

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 base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more

Additional Information:
We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development
If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll 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. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals.

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

Interview Process
We'll 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

If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at USWAPTDO@td.com. Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.