VP Compliance-Model Data and Governance

TD Bank•New York, NY

4d•Onsite

About The Position

The VP, Compliance – Model and Data Governance ensures that AI and data usage within TDS Compliance aligns with enterprise strategy and governance principles, and monitors AI model and agent performance to support effective, sound implementation. The role works with data scientists and data analysts in the Compliance Intelligence Unit, as well as broader TDS Compliance and Compliance Technology, to implement the TDS Compliance AI and data strategy effectively and on time. As a senior Compliance professional focused on data, AI integration, enterprise governance, and program enhancement, the role helps ensure Compliance data accessibility and quality and adherence to enterprise data and AI usage standards. It leads change and promotes continuous improvement in support of an effective, efficient, focused, embedded, and sustainable surveillance program. The position leads program reviews and enhancement in coordination with Advisory Compliance, Technology, and first-line business, risk, and control partners. It aligns enhancement work with regulatory expectations; supports surveillance leadership and strategic initiatives; and helps document and improve policies and procedures. The role also promotes a strong governance and control environment, helps manage Compliance risk, stays current on emerging risks and regulatory requirements, and contributes to team leadership, talent development, colleague experience, and diversity objectives. The VP oversees or leads teams of specialists and professionals, providing advice, guidance, and expertise on regulatory requirements and helping business units manage regulatory risk. The position operates independently, manages a specialized compliance area, serves as a subject matter expert and key contact for business management, regulators, and auditors, focuses on short- to mid-range planning, and manages regulatory reviews, inquiries, audits, and exams.

Requirements

Minimum 5 years of bank or broker-dealer compliance or related experience, or first-line business risk and controls experience.
Strong product knowledge of equities, options, futures, FX, rates, currencies, and fixed-income products.
Deep understanding of global market conduct and market abuse laws, rules, and regulations, as well as compliance strategies and risk management methodologies for measuring, monitoring, and reporting conduct and market manipulation risk.
Strong quantitative skills and ability to program or prototype surveillance patterns and models.
Deep understanding of Compliance data requirements, data quality tooling, data quality reporting, and governance.
Outstanding leadership and technical skills.
Demonstrated expertise in change management, project management, and surveillance operations, including remediation, ongoing monitoring of surveillance operations, data defects, and data remediation.
Demonstrated ability to deliver project outcomes in a timely and high-quality manner.
Demonstrated ability to collaborate with diverse stakeholders and functions, including first-line business partners, Risk, Technology, and Audit, and build effective working relationships.
Bachelor’s degree or progressive work experience.
5–7 years of related experience.

Nice To Haves

Familiarity with leading surveillance vendors.
Innovative, creative, and collaborative approach to change management.

Responsibilities

Monitor the performance of AI models and agents.
Build and maintain business intelligence dashboards.
Evaluate AI usage within Compliance for impact, scalability, safety, and sustainability.
Define requirements for data ingestion and integration in the Compliance Data Repository.
Define data quality requirements for Compliance data, including completeness, timeliness, accuracy, and lineage.
Ensure Compliance AI and data usage follows enterprise standards and governance.
Lead reviews of the current program and collaborate with Advisory Compliance, Technology, and first-line business, risk, and control partners on enhancements consistent with regulatory expectations.
Align program enhancement activities with expectations of relevant regulatory authorities.
Work with IT and Communications Surveillance and Trade Surveillance leadership to support an effective, efficient, focused, embedded, and sustainable surveillance program.
Coordinate and participate in vendor and client roundtables, industry conferences, and events focused on surveillance.
Support documentation and enhancement of policies and procedures to meet firm and regulatory requirements.
Promote a strong governance and control environment and conduct periodic assessments against industry practices with business and Risk partners.
Work with Risk to ensure the Bank operates within its Compliance risk appetite and that Compliance operational risk is mitigated, assessed, and managed.
Stay current on emerging risks, trends, and evolving regulatory requirements for Compliance and the QM and QAR teams.
Build a positive, diverse, and open work environment; improve efficiency, share knowledge and skills, and encourage results.
Attract, develop, and retain talent and maintain an active talent pipeline.
Advance TD’s leadership development, colleague experience, and diversity agenda.
Lead teams of compliance specialists and professionals, provide regulatory advice and guidance, and assist business units in managing regulatory risk.
Manage regulatory reviews, including inquiries, audits, and examinations.