TD Securities ยท 1 month ago
Director, Trade Surveillance - Data Quality
New York, NY
Full-time
Hybrid
Mid, Senior Level
$150K/yr - $250K/yr
7+ years expTD Securities is seeking a Director-level candidate to lead the Surveillance Data Quality Team. This global role involves designing and delivering an industry-leading data-quality framework for trade surveillance, ensuring the accuracy and completeness of data used to detect market abuse and regulatory violations.
BankingFinanceFinancial Services
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 questions or inquiries related to TDS's surveillance data quality framework. Present in governance meetings
Qualification
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
Benefits
Health and well-being benefits
Savings and retirement programs
Paid time off (including Vacation PTO, Flex PTO, and Holiday PTO)
Banking benefits and discounts
Career development
Reward and recognition
Company
TD Securities
TD Securities is an investment banking that offers global transaction, M&A advisory, foreign exchange, and equity research services.
5001-10000 employees
H1B Sponsorship
TD Securities has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (70)
2024 (49)
2023 (37)
2022 (31)
2021 (27)
2020 (30)
Funding
Current Stage
Late StageLeadership Team
Rona Ambrose
Deputy Chairwoman
Recent News
2026-01-06
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