Director, Trade Surveillance - Data Quality

Work Location:

New York, New York, United States of America

Hours:

40

Line of Business:

Compliance

Pay Detail:

$150,000 - $250,000 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:

TD Securities Compliance team is seeking a Director-level candidate to lead the Surveillance Data Quality Team. This is a global role, the incumbent will work with the Trade and Communications Surveillance leads across geographies (US, Canada, EMEA, and APAC), as well as key stakeholders to design and deliver an industry-leading data-quality framework. Specifically, the incumbent will work 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 incumbent will work closely with the CDO, Compliance Technology, and Front Office Technology teams design, build and maintain a robust data quality framework. Additionally, the incumbent will be required for indefinity, assess, prioritize, and track to completion data deficiencies that require remediation by Front Office Technology, Compliance Technology, and/or CDO.   This role is critical in ensuring the accuracy, completeness, and timeliness of data used to detect market abuse, financial misconduct, and regulatory violations. The ideal candidate will have deep 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 engages with key stakeholders across TD Securities (TDS), including Markets Sales and Trading leaders, Technology, Advisory Compliance, and Risk functions. The incumbent provides strategic guidance and independent oversight of the surveillance output and analyst dispositions of alerts, and suggested enhancements to the program. 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.

Key Responsibilities:

• Data Governance & Quality Strategy: Develop and implement a robust data quality framework for trade surveillance, ensuring data integrity across multiple trading desks and asset classes.

• Surveillance Data Management: Oversee 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: Ensure TDS meet regulatory requirements as it related 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.

• Cross-Functional Leadership: Partner with Compliance, Risk, Trading, and Technology teams to optimize data workflows and enhance the effectiveness of TDS's Surveillance program.

• Issue Resolution & Root-Cause Analysis: Investigate and remediate surveillance data-quality issues, implement controls to prevent recurrence, and enhance reporting mechanisms for senior management.

• Stakeholder Engagement: Serve as primary contact to   Trade Surveillance teams,  CDO, Compliance Technology, and Front Office Technology on surveillance data quality issues.  Engage with regulators and Internal Audit as needed to address any qu