VP Compliance Manager, Quantitative Analyst, Trade Surveillance Model Tuning & Predictive Analytics - TD Securities (US)

Work Location:

New York, New York, United States of America

Hours:

40

Line of Business:

Compliance

Pay Detail:

$150,000 - $185,000 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:

Department Overview:

The Global Compliance Department is responsible for overseeing regulatory compliance across TDBG in accordance with the Global Compliance Operating Framework. The team is accountable for promoting regulatory compliance by developing and maintaining compliance programs, including identifying and disseminating regulatory developments to businesses they support, maintaining Compliance policies, managing complaints and regulatory filings, providing relevant training, carrying out independent monitoring and oversight activities, reporting on the state of compliance to the Board, UDP and senior management, as needed, and providing advice and support, as required. Within the Global Compliance Department, the Global Surveillance Team is responsible for conducting surveillance of communications and trading as it relates the market manipulation, collusion and other prohibited trading practices.   

Job Details:

We are seeking an experienced VP-level Quantitative Analyst to focus on the development and tuning of surveillance behavioral models, predictive risk scoring for alerts, and creation of automated quality assurance tools leveraging Natural Language Processing (NLP). The ideal candidate will hold at least a Bachelor’s or Master’s degree in a quantitative field (Mathematics, Statistics, Data Science, Financial Engineering). The candidate will combine technical expertise, machine learning capabilities, and domain knowledge in trade surveillance to enhance the efficiency and accuracy of detection systems and quality assurance processes. The role requires a thorough understanding of market microstructure, data manipulation, statistical analysis, and machine learning.  The role reports to the Head of the Surveillance Intelligence Unit, which is responsible for a number of domains including prototyping new surveillance, surveillance data quality, and surveillance quality assurance.  

Individual Accountabilities:

•    Develop and implement surveillance detection systems utilizing predictive analytics and outlier detection models.
•    Calibrate detection models to ensure precision and reliability.
•    Create and maintain input/output monitoring and visualization tools.
•    Conduct thorough analysis of complex datasets to interpret and guide business decisions.
•    Build, train, and deploy machine learning models, using various classification and outlier detection algorithms.
•    Utilize advanced statistical techniques and optimization methods to enhance model performance.
•    Engage in Natural Language Processing (NLP) topic modeling to discern patterns and themes in text datasets against observable fact patterns.
•    Develop and implement trade surveillance logic to detect market manipulation and ensure regulatory compliance.
•    Communicate effectively with senior compliance stakeholders to share findings and methodologies.
•    Maintain comprehensive documentation of model specifications, methodologies, analytics, processes, and results.

General Job Description:

The VP Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory risk.

Depth & Scope:

• Works independently and is accountable for managing a specialized compliance area, business or function and leads a team of specialists
• Subject matter expert for a functional area
• Key contact for business management, regulators and external/internal auditors, dealing with non-routine information
• Focuses on short to mid- range planning (e.g. 6-12 months)
• Manages regulatory reviews including inquiries, audits, and exams

Education & Experience:

• Bachelors degree or progressive work experience