Senior Compliance Officer - Surveillance, Data Quality

Senior Compliance Officer

The TD Securities Compliance team is seeking a Senior Compliance Officer to join the Surveillance Data Quality Team. The team supports the Trade and Communications Surveillance leads across geographies (US, Canada, EMEA, and APAC), as well as key stakeholders to execute across an industry-leading data-quality framework. Specifically, the Data Quality Team works 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 ideal candidate will have strong 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 engage with key stakeholders across TD Securities (TDS), including Markets Sales and Trading leaders, Technology, Advisory Compliance, and Risk functions. 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.

The Senior Compliance Office provides advice, guidance and support to business units in adhering to regulatory/compliance requirements and assists in implementing compliance initiatives to help manage regulatory risk.

Key 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.

The Senior Compliance Office provides advice, guidance and support to business units in adhering to regulatory/compliance requirements and assists in implementing compliance initiatives to help manage regulatory risk.

Depth & Scope:

• Works independently as the senior officer and may coach and educate others
• Individual contributor role providing specialized expertise or may lead a small team of specialists
• Considered a subject matter expert within a given area working closely with business partners, auditors and/or regulators
• Contact for business management, regulators and external/internal auditors with assistance from Management, dealing with routine information
• Provides day to day interaction and support to Management
• Oversees/executes and/or performs tasks from end to end
• Focuses on short to mid-term issues (e.g. monthly-quarterly)

Education & Experience:

• Bachelors degree or progressive work experience
• 5-7 Years of related experience

Preferred Qualifications:

• 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.

Physical Requirements:

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.

Who We Are

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 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.

Additional Information: We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home. Colleague Development If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety