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TD · 3 months ago

Director, Trade Surveillance - Data Quality

New York, NY

Full-time

Onsite

Lead/Staff, Director/Executive

$150K/yr - $250K/yr

7+ years exp

TD Bank Group is seeking a Director-level candidate to lead the Surveillance Data Quality Team. The role involves designing and delivering a data-quality framework for trade surveillance, ensuring compliance with regulatory requirements, and collaborating with various teams to enhance data integrity and governance.

BankingFinanceFinancial ServicesWealth Management

Responsibilities

Develop and implement a robust data quality framework for trade surveillance, ensuring data integrity across multiple trading desks and asset classes

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

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

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

Partner with Compliance, Risk, Trading, and Technology teams to optimize data workflows and enhance the effectiveness of TDS's Surveillance program

Investigate and remediate surveillance data-quality issues, implement controls to prevent recurrence, and enhance reporting mechanisms for senior management

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 questions or inquiries related to TDS's surveillance data quality framework. Present in governance meetings

Qualification

Surveillance Data QualityData Governance FrameworkTrade Surveillance SystemsRegulatory ComplianceData Quality Monitoring ToolsSQLPythonCloud-Based Data ArchitecturesBig Data TechnologiesRisk ManagementAutomation TechniquesAdvanced DegreeTrade Manipulation TypologiesFinancial Markets

Required

Bachelors degree or progressive work experience

7-10 years related experience

Preferred

10 years of experience in surveillance data quality at a large investment bank/systemically important financial institution (SIFI) in the US

Demonstrated expertise in data creating and maintaining a robust surveillance data governance framework, trade surveillance tools (e.g., SMARTS, Actimize, and Trading Hub), and communications surveillance tools (e.g., Behavox)

Deep understanding of trading in equities, fixed income, FX, and derivatives markets, as well as market abuse and trade manipulation typologies

Experience leading a large remediation project related to trade and communications surveillance data, preferably at SIFI

Demonstrated experience in leading cross-functional teams and driving strategic initiatives in a fast-paced, highly regulated environment

Deep 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

Knowledge of cloud-based data architectures (e.g., AWS, Azure, GCP) and big data technologies

Experience with AI/ML-driven surveillance models and automation techniques

Advanced degree in Finance, Data Science, Computer Science, or related fields