Research Supervision Associate - New York, United States - TD Bank

Description

Job Description

Work Location:

Hours:

Line of Business:

Pay Detail:

TD is committed to providing fair and equitable compensation opportunities to all colleagues. The included salary range for this role takes into account multiple factors that are considered in making compensation decisions. The base pay actually offered may vary based upon candidate's skills and experience, job-related knowledge, licensure and certifications, geographic location, and other specific business and organizational needs. As TD puts career development at the forefront of our colleague experience, it is not typical for an individual to be hired at or near the top of the range for their role.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role

Job Description:

TD Cowen is seeking a professional to join its Global Research team in New York, with flexibility for a hybrid in-office/work from home schedule within guidelines established by Research Management. The successful candidate will report to the Director of Global Research Supervision, undertaking the full range of tasks and responsibilities needed to ensure the firm's adherence to regulatory supervision requirements.

Illustrative Responsibilities Include

• Execution of tasks pertaining to required research disclosure data and related processes, such as those pertaining to analyst conflicts of interest, firm revenue and business activities.
• Email surveillance and social media review.
• Tracking of mandatory training, vacation and other regulatory and internal policy compliance matters.
• Performance of monthly supervisory checklist tasks and maintenance of related documentation.
• Coordination with Compliance, Legal and other teams regarding information requests and other elements of regulatory exams and internal audits.

Preferred Requirements

• Bachelor's degree and 0-3 years relevant experience
• Compliance/Personal Trading/email surveillance experience a plus
• Excellent verbal and written communication skills and strong professional demeanor
• Proven ability to work well on teams, showing initiative, a positive attitude, and a willingness to work hard independently as well
• High level of ethical standards, integrity, and judgement
• Organized, self-motivated, detail and deadline oriented
• Ability to understand and analyze compliance issues and commercially provide effective tactical and strategic solutions.
• Securities licenses strongly preferred but not strictly required
• Willing to work flexible hours in hybrid in-office/work from home model and occasional weekends
• Highly proficient in Microsoft Office, including the ability to work comfortably within Excel

Provide specialized business management guidance and support for a functional area and implement policies / processes and/or initiatives to meet business management, strategy, and governance objectives. May provide complex reporting, analysis, and assessments at the functional or enterprise level.

Depth & Scope:

• Works independently as the senior analyst / subject matter expert and may coach and educate others
• Considered a subject matter expert within a given area
• Oversees and/or independently performs tasks from end to end
• Focuses on short to medium-term issues (e.g., monthly-quarterly)

Education & Experience:

• Undergraduate degree
• 5+ years relevant experience

Customer Accountabilities:

• Provides specialized business management related advice / support to management / leadership and respective teams for area(s) of specialization with industry, external and internal, enterprise and business awareness; understands trends, identifies issues and opportunities, and provides recommended action to management
• Leads on the implementation of initiatives in support of the overall business / function strategy
• Manages a set of business management work activities requiring coordination across multiple areas
• Supports / manages the integrated implementation of policies / processes / procedures / changes in across multiple functional areas
• Provides subject matter expertise and/or input to projects / initiatives as a representative for area of specialization, and where necessary participates in identifying, designing, and testing solutions supporting implementation activities

Shareholder Accountabilities:

• May develop and provide complex reporting, analysis, and assessments at the functional or enterprise level
• Develops and delivers presentations / communications to management or broader audience
• Adheres to internal policies / procedures and applicable regulatory guidelines; contributes to the review of internal processes and activities and assists in identifying potential opportunities to improve operational efficiencies
• Identifies variances and contributes to the analysis, due diligence, and implementation of initiatives and/or business operations within defined area of responsibility
• Supports development and/or implementation of standards, policies, procedures, and solutions that mitigate risk and maximize availability of service, efficiency, and effectiveness

Employee/Team Accountabilities:

• Continuously enhances knowledge / expertise in own area
• Keeps current on emerging trends / developments and grows knowledge of the business, analytical tools, and techniques
• Prioritizes and manages own workload to deliver quality results and meets assigned timelines
• Supports a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication of issues/ points of interest
• Identifies and recommends opportunities to enhance productivity, effectiveness, and operational efficiency
• Establishes effective relationships across multiple business and technology partners, program, and project managers
• Participates in knowledge transfer within the team and business units

Physical Requirements:

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%

• 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 – Occasional
• 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

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.

#LI-hybrid

Who We Are

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.

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. Learn more

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
If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we're committed to helping you identify opportunities that support your goals.

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.

Accommodation

If you are an applicant with a disability and need accommodations to complete the application process, email the TD Bank US Workplace Accommodations Program at Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.