Td Bank Research Supervision Associate 

United States, New York, New York 

869684316

New York, New York, United States of America

$90,000 - $125,000 USD

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

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.

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.

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.
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.