Director - Supervisory Analyst, Equity Research

TD Bank; Town of Boston (NY); On-site; USD 80,000 - 100,000; Full time

Benefits offered by this job

Assurance santé

Programme de développement professionnel

Congés payés

Job summary

Une grande banque recherche un Analyste de Supervision à Town of Boston, NY pour garantir la conformité des recherches avant publication. Le candidat idéal a plus de 5 ans dans le domaine, possède une Licence FINRA Series 16, et démontre de fortes compétences organisationnelles et rédactionnelles. Le poste nécessite une attention minutieuse aux détails dans un environnement de travail dynamique.

Qualifications

• 5 ans d'expérience en tant qu'analyste de supervision dans un cabinet de valeurs mobilières.
• Licence FINRA Series 16 requise.
• Capacité à travailler sous pression avec des délais serrés.

Responsibilities

• Évaluer les recherches à publier en conformité avec les règlements.
• Assurer la clarté et l'équilibre des rapports de recherche.
• Coordonner avec les analystes sur les préoccupations réglementaires.

Skills

Compétences rédactionnelles

Sens de l'organisation

Compétences en conformité réglementaire

Education

Baccalauréat

Tools

Microsoft Word

PowerPoint

BlueMatrix

Job description

Nous utilisons des témoins pour fournir et améliorer nos services de sorte à vous offrir une expérience plus personnalisée, et les services de suivi sont désactivés. Pour en savoir plus sur les témoins utilisés et pour consulter vos préférences, veuillez vérifier les paramètres de votre navigateur ou sélectionner Accepter pour consentir à l’utilisation des témoins.Avertissement : Pour les visiteurs de l’Union européenne et du Royaume-Uni, seuls les témoins strictement nécessaires sont utilisés sur ce site. Ces témoins sont nécessaires au bon fonctionnement du site Web et ne peuvent pas être désactivés. Ils sont généralement mis en place uniquement en réponse à des actions que vous effectuez et qui équivalent à une demande de services, comme configurer vos préférences en matière de confidentialité, ouvrir une session ou remplir des formulaires. Vous pouvez configurer votre navigateur pour qu’il bloque ces témoins; toutefois, certaines sections du site ne fonctionneront pas. Ces témoins n’enregistrent pas de renseignements personnels permettant l’identification.* 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* 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 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* 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* 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.* Domestic Travel – Occasional* International Travel – Never* Performing sedentary work – Continuous* Performing multiple tasks – Continuous* Operating standard office equipment - Continuous* Responding quickly to sounds – Occasional* Sitting – Continuous* Standing – Occasional* Walking – Occasional* Moving safely in confined spaces – Occasional* Lifting/Carrying (under 25 lbs.) – Occasional* Lifting/Carrying (over 25 lbs.) – Never* Squatting – Occasional* Bending – Occasional* Kneeling – Never* Crawling – Never* Climbing – Never* Reaching overhead – Never* Reaching forward – Never* Pushing – Never* Pulling – Never* Twisting – Never* Concentrating for long periods of time – Continuous* Applying common sense to deal with problems involving standardized situations – Continuous* Reading, writing and comprehending instructions – Continuous* Adding, subtracting, multiplying and dividing – Continuous**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.**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****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.|**Nos valeurs**À la TD, nous avons pour objectif d’enrichir la vie de nos clients, de nos collectivités et de nos collègues, et nous avons en commun un ensemble de valeurs qui façonnent notre culture et guident nos comportements. En échange de l’engagement quotidien de nos collègues à aider la TD à réussir, nous nous engageons à leur offrir une expérience de travail qui repose sur l’impact, la croissance et la culture de bienveillance. Peu importe où vous travaillez à la TD, nous vous donnons les outils nécessaires pour faire changer les choses au travail et dans votre collectivité, explorer et faire progresser votre carrière et faire partie de notre culture de bienveillance et d’inclusion.**Notre engagement à l’égard de la diversité, de l’équité et de l’inclusion**À la TD, nous nous engageons à créer un milieu où les collègues peuvent être eux-mêmes au travail, avoir des possibilités équitables et se sentir respectés et soutenus. Nous avons à cœur de réunir un effectif inclusif