Director, Global Research Compliance & Editing

TD Bank; Singapore; On-site; SGD 120,000 - 180,000; Full time

Job summary

TD Securities is seeking a Supervisory Analyst for Research to review all public-facing research for regulatory compliance and accuracy. You will ensure timely releases, validate investment theses, and provide feedback to analysts to improve clarity and fairness of research content.

The role requires FINRA Series 16, a bachelor’s degree, and CIRO proficiency within six months, with 5+ years of supervisory experience in a securities firm.

Qualifications

• Must possess FINRA Series 16 License.
• Bachelor’s Degree required.
• Willingness to obtain CIRO proficiency within six months.
• Experience reviewing equity and macro research is an asset.
• Strong editing and proofreading skills with regulatory focus.

Responsibilities

• Review all research intended for the public for compliance with FINRA/CIRO and company policies.
• Edit and oversee research before release to clients.
• Ensure timely release and accuracy of financial figures and valuation.
• Verify disclosures and attribution of information in reports.
• Operate BlueMatrix publishing system to schedule and distribute reports.

Skills

Strong editing

Excellent communication

Attention to detail

Regulatory awareness

Education

Bachelor’s Degree

FINRA Series 16 License

CIRO-recognized proficiency (PDO/CIRO Supervisor Exam)

Tools

BlueMatrix

Microsoft Word

Microsoft PowerPoint

Microsoft Excel

Job description

TD Securities is seeking a Supervisory Analyst for Research to review all public-facing research for regulatory compliance and accuracy. You will ensure timely releases, validate investment theses, and provide feedback to analysts to improve clarity and fairness of research content.

The role requires FINRA Series 16, a bachelor’s degree, and CIRO proficiency within six months, with 5+ years of supervisory experience in a securities firm.