Director, Trade Surveillance - Data Quality - TD Bank : Job Details

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.

• 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.

• Accountable for a significant area(s)/broad business units of Compliance that typically has enterprise wide impact or accountability.
• Position deals with senior/executive management.
• Key contact for business management, regulators and external/internal auditors, dealing with a broad range of issues including non-routine information.
• Focuses on longer-range planning for functional area (e.g. 12 months or greater).
• Manages and prioritizes multiple projects at a given time.

• Bachelors degree or progressive work experience
• 7-10 years related experience

• 10 years of experience in surveillance data quality at a large investment bank/systemically important financial institution (SIFI) in the US.
• Demonstrated expertise in 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
• 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 Al/ML-driven surveillance models and automation techniques.
• Advanced degree in Finance, Data Science, Computer Science, or related fields.

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%

• Domestic Travel: Occasional
• International Travel: Never
• Performing sedentary work: Continuous
• Performing multiple tasks: Continuous
• Operating standard office equipment: Continuous
• Responding quickly to sounds: Occasional
• Sitting: Continuous
• Standing: Occasional
• Walking: Occasional
• Moving safely in confined spaces: Occasional
• Lifting/Carrying (under 25 lbs.): Occasional
• Lifting/Carrying (over 25 lbs.): Never
• Squatting: Occasional
• Bending: Occasional
• Kneeling: Never
• Crawling: Never
• Climbing: Never
• Reaching overhead: Never
• Reaching forward: Occasional
• Pushing: Never
• Pulling: Never
• Twisting: Never
• Concentrating for long periods of time: Continuous
• Applying common sense to deal with problems involving standardized situations: Continuous
• Reading, writing and comprehending instructions: Continuous
• Adding, subtracting, multiplying and dividing: Continuous

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.

TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.

Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as 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, and reward and recognition