Director, Equity Research Compliance & Quality

TD Bank; United States; On-site; USD 200,000 - 225,000; Full time

Job summary

TD Bank's TD Securities division in San Francisco seeks a Supervisory Analyst – Research to provide high-quality regulatory-compliant reviews of equity research products. You will ensure accuracy and timely publication across the global research platform.

Requires Bachelor's, FINRA Series 16, PDO exam, 5+ years as Supervisory Analyst, strong editing and written communication, and proficiency in Word, PowerPoint, Excel and BlueMatrix.

Qualifications

• Bachelor's Degree required; 5+ years supervisory analyst experience preferred.
• FINRA Series 16 license required; PDO exam (CIRO) preferred.
• Strong editing and proofreading skills; meticulous attention to detail.

Responsibilities

• Review all Equity Research materials for FINRA/CIRO compliance and company policies.
• Oversee editing and compliance before public release; ensure accuracy and timeliness.
• Validate financial figures and disclosures; ensure clarity and balanced presentation.
• Collaborate with analysts on wording, regulatory concerns, and data accuracy.
• Operate BlueMatrix publishing system to schedule and distribute reports to subscribers.

Skills

Editing

Prioritization

Written communication

Attention to detail

Regulatory knowledge

Education

Bachelor's Degree

FINRA Series 16 License

PDO exam (CIRO)

5+ years Supervisory Analyst experience

Tools

BlueMatrix

Microsoft Word

Microsoft PowerPoint

Microsoft Excel

Job description

TD Bank's TD Securities division in San Francisco seeks a Supervisory Analyst – Research to provide high-quality regulatory-compliant reviews of equity research products. You will ensure accuracy and timely publication across the global research platform.

Requires Bachelor's, FINRA Series 16, PDO exam, 5+ years as Supervisory Analyst, strong editing and written communication, and proficiency in Word, PowerPoint, Excel and BlueMatrix.