Director - Supervisory Analyst, Research

Work Location

Singapore, Singapore

40

TD Securities

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.

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.

• 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.

• 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 (Blue Matrix) 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.

• 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 Blue Matrix publishing system preferred

• Conservative mindset when reviewing materials from a compliance, regulatory, and reputational perspective

TD…