Td Bank Manager Trade Surveillance - Quality Assurance United States, New York, New York 106034890
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Job Description:
Leveraging data-driven methodologies, including Natural Language Processing (NLP) and advanced surveillance tooling, the incumbent will work to enhance the existing surveillance quality assurance (QA) program and continue to drive accuracy, consistency, and compliance with departmental review procedures. The incumbent will collaborate closely with Trade Surveillance and Communications Surveillance Team leads, who are responsible for identifying and escalating potential market abuse alerts to Advisory Compliance and business supervisors. The incumbent will be responsible for assuring that alert review processes align with firm requirements and global regulatory expectations.
Key Responsibilities:
The incumbent will assist the Director of Quality Assurance with providing advice, guidance and expertise on regulatory requirements and assisting business units to manage their regulatory risk. The Surveillance Quality Assurance Manager will work with the Director of Surveillance Quality Assurance to:
Evaluate and enhance the design and operational effectiveness of TDS's existing Surveillance QA function.
Implement enhancements to Surveillance QA processes, alert review standards, andtechnology infrastructure(e.g., case management system) to optimize the efficiency and accuracy of analyst alert reviews.
Lead Quality Assurance reviews and drive Improvement.
Conduct regular reviews of surveillance alerts across FX, Fixed Income, Commodities, Exchange-Traded Products, and Electronic Communications surveillance alerts.
Provide feedback to surveillance analysts and surveillance product heads (i.e., FX, FICC, Equities, and Communications Surveillance lead) to improve the accuracy, consistency, and completeness of alert reviews and alert dispositions.
Document review findings, highlighting emerging risks, process inefficiencies, and opportunities for process enhancement.
Partner with Surveillance Data Quants and Compliance Technology teams to refine the tooling and methodology for conducting surveillance QA reviews using advanced methodologies (e.g., NLP and machine learning).
Identify and prioritize opportunities for automation and system improvements in the firm's surveillance infrastructure.
Contribute to the refinement of alert parameters and tuning methodologies to improve surveillance effectiveness.
Work closely with Surveillance leadership, Advisory Compliance, and Technology teams to drive enhancements in surveillance review quality and methodology.
Act as a strategic advisor on evolving regulatory expectations, enforcement trends, and industry best practices in market manipulation surveillance across trade and communications.
Ensure the surveillance department aligns with global regulatory requirements (e.g., SEC, FINRA, CFTC, NFA, FCA, MAS, etc.) and industry standards for GSIBs (best practices).
Execute on a Global Surveillance QA program in a globally consistent manner.
Foster a culture of continuous improvement, innovation, and accountability in surveillance QA practices
Participate in regulatory exams (as needed).
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
Preferred Qualifications:
Advanced degree (JD, MBA, or Masters in Financial Engineering, Data Science, or Statistics) is a plus.
7+ years of experience in Surveillance Quality Assurance or Internal Audit (covering compliance surveillance, and/or risk and control functions) at a Global Systemically Important Bank (GSIB), or the equivalent experience at a regulatory body (e.g., leading a bank or broker/dealer exam team).
Surveillance experience at Financial Market Regulator (e.g., SEC, FINRA, CFTC, NFA, or Exchange Market Surveillance department) is highly desired.
In-depth knowledge of trade and communications surveillance tools and vendors, for detecting market abuse and manipulation.
Product knowledge of FX, exchange traded products (listed option, equites, and futures), and FICC highly desired.
Strong understanding of global regulatory expectations for trade and communications surveillance programs, and deep understanding of market abuse behaviors surveillance that surveillance is intended to identify (e.g., spoofing, layering, insider trading, benchmark manipulation, marking the open/close/auctions, and collusion).
Strong understanding of operational risk, and control testing requirements.
Experience in leveraging technology (e.g., NLP, Machine Learning, and data-driven techniques) to optimize a surveillance quality assurance program.
Strong analytical, communication, and stakeholder management skills, with the ability to influence key stakeholders, including business and technology teams.
Proficiency in data analysis and visualization tools is strongly desired.
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.
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.
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.
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.
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