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TD · 10 hours ago

Trade Surveillance - Data Quality Associate (Sr. Compliance Officer) - TD Securities (US)

New York, New York

Full-time

Onsite

Senior Level

5+ years exp

TD Securities is seeking a Senior Compliance Officer to join their Surveillance Data Quality Team. The role involves developing and implementing a robust data quality framework for trade surveillance and ensuring compliance with regulatory requirements.

BankingFinanceFinancial ServicesWealth Management

Responsibilities

Assist the Data Quality Director in the development and implementation of a robust data quality framework for trade surveillance, ensuring data integrity across multiple trading desks and asset classes

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

Help to ensure TDS meets regulatory requirements as it relates 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

Assist in the investigation and remediation of surveillance data-quality issues and help implement controls to prevent recurrence, and enhance reporting mechanisms for senior management

Collaborate with Trade Surveillance teams, CDO, Compliance Technology, and Front Office Technology on surveillance data quality issues. Support the Data Quality Director in reporting on data quality issues

Qualification

Data GovernanceTrade Surveillance SystemsRegulatory ComplianceData Quality FrameworkSQLPythonData Analytics ToolsAnalytical SkillsAttention to DetailCommunication Skills

Required

Bachelors degree or progressive work experience

5-7 Years of related experience

Preferred

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

Experience in surveillance data quality at a large investment bank/systemically important financial institution (SIFI) in the US

Demonstrated knowledge and capabilities in supporting a robust surveillance data governance framework, trade surveillance tools (e.g., SMARTS, Actimize, and Trading Hub), and communications surveillance tools (e.g., Behavox)

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

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