Senior Compliance Governance & Operations Analyst TDS Trade Surveillance Data Quality

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TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidates skills and experience job-related knowledge geographic location and other specific business and organizational needs.

As a candidate you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description:

Job Description:

The TD Securities Compliance team is seeking a Senior Compliance Officer (Associate-level) 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 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 financial institution.

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 Compliances 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 teamsCDO 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
• 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.

Who We Are:

TD is one of the worlds leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day we strive to make every interaction product and experience remarkably human and refreshingly simple for over 27 million households and businesses in Canada the United States and around the world. More than 95000 TD colleagues bring their skills talent and creativity to foster deeper relationships ensure disciplined execution and build a simpler faster banking experience. TD is deeply committed to being a leader in client experience that is why we believe that all colleagues no matter where they work are client facing. Together we are reimagining what banking can be for our clients colleagues and communities.

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 a base salary variable compensation and several other key plans such as health and well-being benefits savings and retirement programs paid time off banking benefits and discounts career development and reward and recognition programs. Learn more

Additional Information:
Were delighted that youre considering building a career with TD. Through regular development conversations training programs and a competitive benefits plan were committed to providing the support our colleagues need to thrive both at work and at home.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations requirements.

Colleague Development

If youre interested in a specific career path or are looking to build certain skills we want to help you succeed. Youll have regular career development and performance conversations with your manager as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities.

If youre passionate about helping clients and building deep lasting relationships TD offers diverse career paths where you can grow your expertise and make a meaningful impact.

Were committed to your success and foster a respectful workplace where diverse perspectives are valued everyone has fair opportunities to grow and you can unlock your full potential to achieve your career goals. Here at TD we hire and develop the best.

Training & Onboarding
We will provide training and onboarding sessions to ensure that youve got everything you need to succeed in your new role.

Interview Process
Well reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation
Your accessibility is important to us. Please let us know if youd like accommodations (including accessible meeting rooms captioning for virtual interviews etc.) to help us remove barriers so that you can participate throughout the interview process.

We look forward to hearing from you!

Language Requirement (Quebec only):