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

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.,Provide advice, guidance and support to business units in adhering to regulatory/compliance requirements and assist in implementing compliance initiatives to help manage regulatory risk.

Bachelor's degree or progressive work experience.,5-7 Years of related experience.,Preferred: Bachelor's degree in Finance, Data Science, Computer Science, or related fields.,Preferred: Experience in surveillance data quality at a large investment bank/systemically important financial institution (SIFI) in the US.,Preferred: 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).,Preferred: Understanding of trading in equities, fixed income, FX, and derivatives markets, as well as market abuse and trade manipulation typologies.,Preferred: Proficiency in SQL, Python, or other data analytics tools for large-scale data processing and validation.,Preferred: Strong analytical skills, attention to detail, and ability to communicate complex data concepts to non-technical stakeholders.,Preferred: Experience with Al/ML-driven surveillance models and automation techniques.

Bachelor's Degree

Occasional Domestic Travel