Director - Supervisory Analyst, Research

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

## Director - Supervisory Analyst, ResearchPostulerremote type: Flexibilité en milieu de travaillocations: Singapore, Singapore: Hong Kong, Hong Kongtime type: Temps pleinposted on: Publié aujourd'huijob requisition id: R\_1498255**Work Location**:Singapore, Singapour**Hours:**40**Line of Business:**Valeurs Mobilières TD**Pay Details:**We’re committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay 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 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.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:* Monday: 6am to 2pm (EDT) / 7am to 3pm (EST)* Tuesday to Friday: 4am to 12pm (EDT) / 5am to 1pm (EST)Flexibility will be required for vacation coverage for up to 8 weeks per year.**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 the rating. Ensures that research reports are 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* 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 clients* Liaises with research analysts to address language, regulatory concerns, numerical inconsistencies, and issues with logic and clarity. Exercises diplomacy, tact, and sound judgement when delivering feedback.**Education & Experience*** FINRA Series 16 License Required* Minimum 5+ years of experience as a Supervisory Analyst at a securities firm* Ability to commit to the specified working hours detailed above* Bachelor’s Degree* 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)* Experience reviewing both equity and macro research an asset* 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* Excellent verbal and written communication skills* Knowledge of Microsoft Word, PowerPoint, and Excel* Experience with BlueMatrix publishing system preferred* Conservative mindset when reviewing materials from a compliance, regulatory, and reputational perspective**Who We Are**TD Securities is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we strive to make every interaction, product, and experience remarkably human and refreshingly simple for over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities.**Our Total Rewards Package** Our Total Rewards package reflects the investment we make in our colleagues to help them, and their families achieve their well-being goals. Total Rewards at TD includes a base salary and several other key plans such as health and well-being benefits, including medical coverage, paid time off, career development, and reward and recognition programs.**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.If you’re 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.We're 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 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 require an accommodation for the recruitment / interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.