TD Securities ยท 1 day ago
Trade Surveillance - Data Quality Associate (Sr. Compliance Officer) - TD Securities (US)
New York, NY
Full-time
Onsite
Senior Level
5+ years expTD 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 related to surveillance data.
BankingFinanceFinancial Services
Responsibilities
Data Governance & Quality Strategy: 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
Surveillance Data Management: Support 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: 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
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
Issue Resolution & Root-Cause Analysis: 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
Stakeholder Engagement: 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
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
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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