About The Position
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.
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.
- Bachelors degree or progressive work experience
- 5-7 Years of related experience
Nice To Haves
- 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.
Responsibilities
- 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.
Benefits
- 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.
- 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.
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
What This Job Offers
Job Type
Full-time
Career Level
Mid Level
