Trade Surveillance - Data Quality Associate (Sr. Compliance Officer) - TD Securities (US)

TD•New York, NY

2d•Onsite

About The Position

The TD Securities Compliance team is seeking a Senior Compliance Officer (Associate-level) to join the Surveillance Data Quality Team. This team supports Trade and Communications Surveillance leads across geographies (US, Canada, EMEA, and APAC), as well as key stakeholders, to execute an industry-leading data-quality framework. The Data Quality Team collaborates with the 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. This framework includes policies and procedures for effective data governance, data completeness and accuracy checks, surveillance inventories (defining surveillance critical data elements), and data-quality monitoring tooling and metrics. The ideal candidate will possess strong expertise in financial markets, data governance, trade surveillance systems, and regulatory requirements within a large investment bank or 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. Through due diligence and with a strong sense of integrity, we help mitigate potential risks to the surveillance program and the global Markets business by delivering a comprehensive and effective second-line compliance surveillance function. Safeguarding the reputation of Compliance's good governance is paramount. The Senior Compliance Officer 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.

Requirements

Bachelors degree or progressive work experience
5-7 Years of related experience

Nice To Haves

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.

Responsibilities

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.
Support the ingestion, transformation, and validation of trading data from multiple sources (e.g., order management systems, execution platforms, and market data feeds).
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.
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.
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.
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.
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.
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).