VP Compliance Manager, Quantitative Analyst, Trade Surveillance Model Tuning & Predictive Analytics TD Securities (US)

Job description

**Work Location** :

New York, New York, United States of America

**Hours:**

40

**Line of Business:**

Compliance

**Pay Detail:**

$150,000 - $200,000 USD

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 candidate's 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:**

**Department Overview:**

The Global Compliance Department is responsible for overseeing regulatory compliance across TDBG in accordance with the Global Compliance Operating Framework.

The team is accountable for promoting regulatory compliance by developing and maintaining compliance programs, including identifying and disseminating regulatory developments to businesses they support, maintaining Compliance policies, managing complaints and regulatory filings, providing relevant training, carrying out independent monitoring and oversight activities, reporting on the state of compliance to the Board, UDP and senior management, as needed, and providing advice and support, as required.

Within the Global Compliance Department, the Global Surveillance Team is responsible for conducting surveillance of communications and trading as it relates the market manipulation, collusion and other prohibited trading practices.

**Job Details:**

We are seeking an experienced VP-level Quantitative Analyst to focus on the development and tuning of surveillance behavioral models, predictive risk scoring for alerts, the creation of automated quality assurance tools leveraging a Large Language Model and Natural Language Processing (NLP) and designing and building business intelligence dashboards to support decision-making and reporting.

The ideal candidate will hold at least a bachelor's degree in a quantitative field (Mathematics, Statistics, Data Science, Financial Engineering).

The candidate will combine technical expertise, machine learning capabilities, and domain knowledge in market surveillance to enhance the efficiency and accuracy of detection systems and quality assurance processes.

This role requires a thorough understanding of market microstructure, data manipulation, statistical analysis, machine learning and a strong ability to think openly and creatively, as this is essential to address bespoke challenges that may arise in a dynamic and evolving environment.

The role reports to the Director of Quantitative Analytics within the Surveillance Intelligence Unit, which is responsible for several domains including prototyping new surveillance, surveillance data quality, and surveillance quality assurance.

**Individual Accountabilities:**

+ Develop and implement surveillance detection systems utilizing predictive analytics and outlier detection models.
+ Calibrate detection models to ensure precision and reliability using platforms such as Nasdaq Trade Surveillance and Trading Hub, among others.
+ Create and maintain input/output monitoring and visualization tools.
+ Conduct thorough analysis of complex datasets to interpret and guide business decisions.
+ Build and train AI and machine learning models, using various classification and outlier detection algorithms.
+ Utilize advanced statistical techniques and optimization methods to enhance model performance.
+ Engage in Natural Language Processing (NLP) topic modeling to discern patterns and themes in text datasets against observable fact patterns.
+ Work with Model Risk Management on model validation and monitoring as needed.
+ Develop and implement trade surveillance logic to detect market manipulation and ensure regulatory compliance.
+ Build and maintain business intelligence dashboards.
+ Communicate effectively with senior compliance stakeholders to share findings and methodologies.
+ Maintain comprehensive documentation of model specifications, methodologies, analytics, processes, and results.

**Core Requirements**

+ Proficiency in Python and Databases (SQL), with experience in time series analysis.
+ Proficiency with Business Intelligence platforms and data visualization tools (e.g., Tableau).
+ Must demonstrate technical creativity and the ability to design end-to-end solutions with a compliance mindset.
+ Must possess strong analytical skills with the ability to identify anomalies and patterns in complex data.
+ Knowledge of market abuse patterns and methods for detection.
+ Understanding of the national market system and its operational framework.
+ Strong collaboration skills to work effectively with business and technology partners in a team environment.
+ Ability to manage multiple priorities in a fast-paced environment.
+ Skilled in preparing management-ready presentations and reports.
+ Ability to maintain high-quality, up-to-date technical documentation.

**Preferred Qualifications**

+ Experience with large language models (LLMs), natural language processing (NLP), and Cloud AI platforms.
+ Familiarity with trade surveillance systems (e.g., Nasdaq SMARTS, Trading Hub).
+ Experience in developing trade surveillance patterns.
+ Knowledge of financial products, including Equities, Options, Commodities, Fixed Income, and FX.

**General Job Description**

The VP Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory risk.

**Depth & Scope:**

+ Works independently and is accountable for managing a specialized compliance area, business or function and leads a team of specialists
+ Subject matter expert for a functional area
+ Key contact for business management, regulators and external/internal auditors, dealing with non-routine information
+ Focuses on short to mid- range planning (e.g. 6-12 months)
+ Manages regulatory reviews including inquiries, audits, and exams

**Education & Experience:**

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

**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.

Learn more (http://hrportal.ehr.com/tdtotalrewards)

**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 of mentoring programs to help you unlock future opportunities.

Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.

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

**Interview Process**
We’ll 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**

TD Bank is an equal opportunity employer.

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.

If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at USWAPTDO@td.com .

Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.
Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.

Required Skill Profession

Other General