TD Bank
Trade Surveillance - Data Quality Associate (Sr. Compliance Officer) - TD Securi
TD Bank, New York, New York, us, 10261
**Work Location**:New York, New York, United States of America**Hours:**40**Line of Business:**Compliance**Pay Detail:**$100,000 - $135.000 USDTD 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:**The TD Securities Compliance team is seeking a Senior Compliance Officer (Associate-level) to join the Surveillance Data Quality Team. The team supports the Trade and Communications Surveillance leads across geographies (US, Canada, EMEA, and APAC), as well as key stakeholders to execute across an industry-leading data-quality framework. Specifically, the Data Quality Team
works 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 ideal candidate will have strong 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 engage with key stakeholders across TD Securities (TDS), including Markets Sales and Trading leaders, Technology, Advisory Compliance, and Risk functions.
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.The Senior Compliance Office provides advice, guidance and support to business units in adhering to regulatory/compliance requirements and assists in implementing compliance initiatives to help manage regulatory risk.**Key Responsibilities:*** Data Governance & Quality Strategy: Assist the Data Quality Director in the development and implementation of a robust data quality framework for trade surveillance, ensuring data integrity across multiple trading desks and asset classes.* Surveillance Data Management: Support 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: Help to ensure TDS meets regulatory requirements as it relates 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.* Issue Resolution & Root-Cause Analysis: Assist in the investigation and remediation of surveillance data-quality issues and help implement controls to prevent recurrence, and enhance reporting mechanisms for senior management.* Stakeholder Engagement: Collaborate with Trade Surveillance teams, CDO, Compliance Technology, and Front Office Technology on surveillance data quality issues.
Support the Data Quality Director in reporting on data quality issues.The Senior Compliance Office provides advice, guidance and support to business units in adhering to regulatory/compliance requirements and assists in implementing compliance initiatives to help manage regulatory risk.**Depth & Scope:*** Works independently as the senior officer and may coach and educate others* Individual contributor role providing specialized expertise or may lead a small team of specialists* Considered a subject matter expert within a given area working closely with business partners, auditors and/or regulators* Contact for business management, regulators and external/internal auditors with assistance from Management, dealing with routine information* Provides day to day interaction and support to Management* Oversees/executes and/or performs tasks from end to end* Focuses on short to mid-term issues (e.g. monthly-quarterly)**Education & Experience:*** Bachelors degree or progressive work experience* 5-7 Years of related experience**Preferred Qualifications:*** Bachelors degree in Finance, Data Science, Computer Science, or related fields.* Experience in surveillance data quality at a large investment bank/systemically important financial institution (SIFI) in the US.* Demonstrated knowledge and capabilities in supporting a robust surveillance data governance framework, trade surveillance tools (e.g., SMARTS, Actimize, and Trading Hub), and communications surveillance tools (e.g., Behavox).* 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.* Strong analytical skills, attention to detail, and ability to communicate complex data concepts to non-technical stakeholders.* Experience with Al/ML-driven surveillance models and automation techniques.**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 – ContinuousThe 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 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 #J-18808-Ljbffr
works 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 ideal candidate will have strong 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 engage with key stakeholders across TD Securities (TDS), including Markets Sales and Trading leaders, Technology, Advisory Compliance, and Risk functions.
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.The Senior Compliance Office provides advice, guidance and support to business units in adhering to regulatory/compliance requirements and assists in implementing compliance initiatives to help manage regulatory risk.**Key Responsibilities:*** Data Governance & Quality Strategy: Assist the Data Quality Director in the development and implementation of a robust data quality framework for trade surveillance, ensuring data integrity across multiple trading desks and asset classes.* Surveillance Data Management: Support 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: Help to ensure TDS meets regulatory requirements as it relates 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.* Issue Resolution & Root-Cause Analysis: Assist in the investigation and remediation of surveillance data-quality issues and help implement controls to prevent recurrence, and enhance reporting mechanisms for senior management.* Stakeholder Engagement: Collaborate with Trade Surveillance teams, CDO, Compliance Technology, and Front Office Technology on surveillance data quality issues.
Support the Data Quality Director in reporting on data quality issues.The Senior Compliance Office provides advice, guidance and support to business units in adhering to regulatory/compliance requirements and assists in implementing compliance initiatives to help manage regulatory risk.**Depth & Scope:*** Works independently as the senior officer and may coach and educate others* Individual contributor role providing specialized expertise or may lead a small team of specialists* Considered a subject matter expert within a given area working closely with business partners, auditors and/or regulators* Contact for business management, regulators and external/internal auditors with assistance from Management, dealing with routine information* Provides day to day interaction and support to Management* Oversees/executes and/or performs tasks from end to end* Focuses on short to mid-term issues (e.g. monthly-quarterly)**Education & Experience:*** Bachelors degree or progressive work experience* 5-7 Years of related experience**Preferred Qualifications:*** Bachelors degree in Finance, Data Science, Computer Science, or related fields.* Experience in surveillance data quality at a large investment bank/systemically important financial institution (SIFI) in the US.* Demonstrated knowledge and capabilities in supporting a robust surveillance data governance framework, trade surveillance tools (e.g., SMARTS, Actimize, and Trading Hub), and communications surveillance tools (e.g., Behavox).* 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.* Strong analytical skills, attention to detail, and ability to communicate complex data concepts to non-technical stakeholders.* Experience with Al/ML-driven surveillance models and automation techniques.**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 – ContinuousThe 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 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 #J-18808-Ljbffr