Director, Equity Research — Compliance & Editorial Lead

TD Securities; San Francisco (CA); On-site; USD 200,000 - 225,000; Full time

Job summary

TD Securities is seeking a Supervisory Analyst – Research to provide high‑quality reviews of Equity Research products across the global platform, ensuring compliance with FINRA and CIRO and company policies. You will supervise content from notes, reports, and presentations, and guarantee timely, accurate, balanced reporting with proper disclosures.

The role requires 5+ years in a supervisory analyst role, FINRA 16, and strong editing, communication, and organizational skills.

Qualifications

• Bachelor’s Degree
• 5+ years of experience as a Supervisory Analyst at a securities firm
• FINRA Series 16 License Required
• PDO exam (CIRO)
• Ability to prioritize and juggle several projects under tight deadlines
• Strong editing and proofreading skills
• Highly organized with meticulous attention to detail
• Strong written communication skills
• 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

Responsibilities

• Review all equity research content for public release, including notes, reports, marketing materials, invitations, videos and podcasts
• Oversee editing and compliance to FINRA/CIRO and company policies before publication
• Ensure timely release of research and that content is clear, fair and not misleading
• Confirm investment thesis and valuation are well-presented and properly justified
• Validate figures and ensure updates across templates are accurate
• Ensure disclosures are present and regulatory requirements are met
• Confirm information is publicly available and properly attributed
• Utilize BlueMatrix to schedule and distribute reports to subscribers
• Collaborate with analysts on wording, regulatory concerns, and numerical accuracy

Skills

Supervisory Analyst exp

Editing & proofreading

Written communication

Regulatory/compliance mindset

Multitasking under deadlines

Education

Bachelor’s Degree

FINRA Series 16 License

PDO exam (CIRO)

Tools

BlueMatrix publishing system

MS Word/PowerPoint/Excel

Job description

TD Securities is seeking a Supervisory Analyst – Research to provide high‑quality reviews of Equity Research products across the global platform, ensuring compliance with FINRA and CIRO and company policies. You will supervise content from notes, reports, and presentations, and guarantee timely, accurate, balanced reporting with proper disclosures.

The role requires 5+ years in a supervisory analyst role, FINRA 16, and strong editing, communication, and organizational skills.