Senior Equity Research Compliance Analyst

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

Job summary

TD Securities in San Francisco, CA seeks a Supervisory Analyst – Research to provide high‑quality reviews of Equity Research products, ensuring compliance with FINRA and CIRO rules and company policies.

You will edit and validate investment theses, coordinate with analysts, and use BlueMatrix to schedule and distribute reports to subscribers, maintaining accuracy, balance, and timely publication.

Qualifications

• Bachelor’s degree required.
• 5+ years as Supervisory Analyst at a securities firm.
• FINRA Series 16 license required.
• PDO exam (CIRO) preferred or required.

Responsibilities

• Review all Equity Research products for compliance with FINRA/CIRO and company policies.
• Edit and oversee research content before publication; ensure accuracy and balance.
• Verify investment thesis and valuations are clearly presented and supported.
• Ensure disclosures and attributions are correct and timely.
• Coordinate with analysts and use BlueMatrix to schedule and distribute reports.

Skills

Bachelor's Degree

FINRA Series 16

CIRO PDO exam

Editing & proofreading

MS Word/PowerPoint

Excel

BlueMatrix

Regulatory perspective

Education

Bachelor’s Degree

Tools

BlueMatrix

Microsoft Word

PowerPoint

Excel

Job description

TD Securities in San Francisco, CA seeks a Supervisory Analyst – Research to provide high‑quality reviews of Equity Research products, ensuring compliance with FINRA and CIRO rules and company policies.

You will edit and validate investment theses, coordinate with analysts, and use BlueMatrix to schedule and distribute reports to subscribers, maintaining accuracy, balance, and timely publication.