Director, Compliance - Trade Surveillance Data Quality Team Lead - TD Securities (US)

Work Location :

New York, New York, United States of America

Hours:

Line of Business:

Compliance

Pay Detail:

$200,000 - $250,000 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

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 Securities Compliance team is seeking a Director-level candidate to lead the Surveillance Data Quality Team. This is a global role, the incumbent will work with the Trade and Communications Surveillance leads across geographies (US, Canada, EMEA, and APAC), as well as key stakeholders to design and deliver an industry-leading data-quality framework. Specifically, the incumbent will work with TDS Chief Data Officer (CDO), Data and Delivery Initiatives (DDI) team, Compliance Technology, First-Line Risk and Control, and Front Office Technology to deliver a Surveillance data quality framework that includes: policies and procedures for effective data governance; data completeness and accuracy checks; surveillance inventories (define surveillance critical data elements); data-quality monitoring tooling and metrics. The incumbent will work closely with the CDO, Compliance Technology, and Front Office Technology teams design, build and maintain a robust data quality framework.

Additionally, the incumbent will be required for indefinity, assess, prioritize, and track to completion data deficiencies that require remediation by Front Office Technology, Compliance Technology, and/or CDO. This role is critical in ensuring the accuracy, completeness, and timeliness of data used to detect market abuse, financial misconduct, and regulatory violations. The ideal candidate will have deep expertise in financial markets, data governance, trade surveillance systems, and regulatory requirements at a large investment bank/systemically important financial institution in the US.

Our team of trusted Surveillance Compliance professionals engages with key stakeholders across TD Securities (TDS), including Markets Sales and Trading leaders, Technology, Advisory Compliance, and Risk functions. The incumbent provides strategic guidance and independent oversight of the surveillance output and analyst dispositions of alerts, and suggested enhancements to the program. Through due diligence, and with a strong sense of integrity, we help mitigate potential risks to the surveillance program, and ultimately the global Markets business, by delivering and comprehensive and effective second-line compliance surveillance function. Safeguarding the reputation of Compliance's good governance depends on us.

Key Responsibilities:

• Data Governance & Quality Strategy: Develop and implement a robust data quality framework for trade surveillance, ensuring data integrity across multiple trading desks and asset classes.

• Surveillance Data Management: Oversee the ingestion, transformation, and validation of trading data from multiple sources (e.g., order management systems, execution platforms, and market data feeds).

• Regulatory Compliance & Risk Management: Ensure TDS meet regulatory requirements as it related to surveillance data (e.g., SEC, CFTC, NFA, FINRA, FCA, CIRO, etc.) and aligns with internal compliance policies.

• Technology & Automation: Collaborate with Technology teams and the CDO to enhance data pipelines, improve data validation processes, and create monitoring tools to detect anomalies in surveillance data.

• Cross-Functional Leadership: Partner with Compliance, Risk, Trading, and Technology teams to optimize data workflows and enhance the effectiveness of TDS's Surveillance program.

• Issue Resolution & Root-Cause Analysis: Investigate and remediate surveillance data-quality issues, implement controls to prevent recurrence, and enhance reporting mechanisms for senior management.

• Stakeholder Engagement: Serve as primary contact to Trade Surveillance teams, CDO, Compliance Technology, and Front Office Technology on surveillance data quality issues. Engage with regulators and Internal Audit as needed to address any question s or inquiries related to TDS's surveillance data quality framework. Present in governance meetings.

Depth & Scope

• Accountable for a significant area(s)/broad business units of Compliance that typically has enterprise wide impact or accountability.

• Position deals with senior/executive management.

• Key contact for business management, regulators and external/internal auditors, dealing with a broad range of issues including non-routine information.

• Focuses on longer-range planning for functional area (e.g. 12 months or greater).

• Manages and prioritizes multiple projects at a given time.

Education & Experience:

• Bachelors degree or progressive work experience

• 7-10 years related experience

Preferred Qualifications:

• 10 years of experience in surveillance data quality at a large investment bank/systemically important financial institution (SIFI) in the US.

• Demonstrated expertise in data creating and maintaining a robust surveillance data governance framework, trade surveillance tools (e.g., SMARTS, Actimize, and Trading Hub), and communications surveillance tools (e.g., Behavox).

• Deep understanding of trading in equities, fixed income, FX, and derivatives markets, as well as market abuse and trade manipulation typologies

• Experience leading a large remediation project related to trade and communications surveillance data, preferably at SIFI.

• Demonstrated experience in leading cross-functional teams and driving strategic initiatives in a fast-paced, highly regulated environment

• Deep understanding of trading in equities, fixed income, FX, and derivatives markets, as well as market abuse and trade manipulation typologies

• Proficiency in SQL, Python, or other data analytics tools for large-scale data processing and validation.

• Stronganalyticalskills,attentiontodetail,andabilitytocommunicatecomplexdata concepts to non-technical stakeholders.

• Knowledge of cloud-based data architectures (e.g., AWS, Azure, GCP) and big data technologies.

• Experience with Al/ML-driven surveillance models and automation techniques.

• Advanced degree in Finance, Data Science, Computer Science, or related fields.

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.

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 strive to make every interaction, product and experience remarkably human and refreshingly simple. 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.

Together, we are reimagining what banking can be for our clients, colleagues and communities.

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.

If you're passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.

We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.

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

TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.

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

Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.