Trade Surveillance - Data Quality Associate (sr. Compliance Officer) - Td Securities (us)

TD

New York, NY, United States
Base: $100,000 - $135,000 usd; bonus/equity: not s...
Trade surveillance data quality
Data governance framework
Regulatory compliance requirements
The Senior Compliance Officer provides advice, guidance and support to business units in adhering to regulatory and compliance requirements while assisting in implementing compliance initiatives to manage regulatory risk

Job Summary

  • The Senior Compliance Officer provides advice, guidance and support to business units in adhering to regulatory and compliance requirements while assisting in implementing compliance initiatives to manage regulatory risk.
  • The role involves collaborating with multiple teams including Technology, Chief Data Officer, and Front Office Technology to deliver and maintain a robust surveillance data quality framework across global markets.
  • TD offers a comprehensive Total Rewards package including competitive salary, variable compensation, health benefits, retirement programs, paid time off, and career development opportunities.

Matching Summary

The Senior Compliance Officer provides advice, guidance and support to business units in adhering to regulatory and compliance requirements while assisting in implementing compliance initiatives to manage regulatory risk.

Salary

Base: $100,000 - $135,000 USD; Bonus/Equity: Not specified; Benefits: Health, retirement, PTO, career development

Skills & Requirements

Must-have

  • trade surveillance data quality
  • data governance framework
  • regulatory compliance requirements
  • SQL and Python proficiency
  • financial markets expertise
  • surveillance data validation

Nice-to-have

  • AI/ML-driven surveillance models
  • stakeholder engagement skills
  • automation and monitoring tools
  • communication with non-technical stakeholders

Key Requirements

  • 5-7 years related experience
  • Bachelor's degree or progressive work experience
  • Experience at a large US investment bank or SIFI
  • Knowledge of trade surveillance systems (SMARTS, Actimize, Trading Hub)
  • Understanding of equities, fixed income, FX, derivatives markets
  • Familiarity with regulatory bodies (SEC, CFTC, FINRA, FCA, etc.)

Work Rights

Not specified

Tailored Resume

Cover Letter