VP Compliance-Model Data and Governance

TD•New York, NY

2d•$150,000 - $180,000

About The Position

The VP, Compliance – Model and Data Governance ensures that AI and data usage within TDS Compliance aligns with enterprise strategy, governance principles, and standards. The role monitors AI model and agent performance and works with data scientists and analysts in the Compliance Intelligence Unit, as well as TDS Compliance and Compliance Technology, to implement the Compliance AI and data strategy effectively and on time. The position is a senior Compliance role focused on data, AI integration, enterprise governance, and program enhancement. It supports a highly effective, efficient, focused, embedded, and sustainable surveillance program. The VP oversees or leads a team of specialists and professionals, provides advice and expertise on regulatory requirements, manages a specialized compliance area, and serves as a subject matter expert and key contact for business management, regulators, and internal and external auditors. The role also manages regulatory reviews and focuses on short- to mid-range planning.

Requirements

At least 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.
Familiarity with leading surveillance vendors.
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.
Innovative, creative, and collaborative approach to change management.
Expertise in change management, project management, and surveillance operations, including remediation, ongoing monitoring of surveillance operations, data defects, and data remediation.
Ability to execute project deliverables in a timely and high-quality manner.
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.

Responsibilities

Monitor the performance of AI models and agents.
Build and maintain business intelligence dashboards.
Evaluate Compliance AI usage for impact, scalability, safety, and sustainability.
Define requirements for data ingestion and integration in the Compliance Data Repository.
Define data quality requirements, including completeness, timeliness, accuracy, and lineage.
Ensure Compliance AI and data usage adheres to enterprise standards and governance.
Review the current Compliance program and work with Advisory Compliance, Technology, and first-line business and risk-and-control partners to enhance it in line with regulatory expectations.
Align program enhancement activities with expectations of relevant regulatory authorities, including the SEC, CFTC, Federal Reserve, OCC, Financial Conduct Authority, MAS, HKMA, and UK PRA.
Work with IT and Communications and Trade Surveillance leadership to support a highly effective, efficient, focused, embedded, and sustainable surveillance program.
Coordinate and participate in vendor and client roundtables and industry conferences or events focused on surveillance.
Support documentation and enhancement of policies and procedures so the program is documented and evidenced in line with firm and regulatory requirements.
Promote a strong governance and control environment with business and Risk partners, including periodic assessments against industry practices.
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 the team to deliver results.
Attract, develop, and retain talent and maintain an active talent pipeline.
Advance TD’s leadership development, colleague experience, and diversity agenda.
Lead a team of specialists and manage the specialized compliance area, business, or function.
Serve as a key contact for business management, regulators, and auditors, and manage regulatory reviews, inquiries, audits, and exams.