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

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 TD Bank Group (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, and the design of automated quality assurance and analytical tools leveraging Large Language Models (LLMs), Retrieval-Augmented Generation (RAG), Natural Language Processing (NLP), and emerging AI integration frameworks. The role also encompasses designing and building business intelligence dashboards to support decision-making and reporting, as well as helping to lead and shape the strategic adoption of AI across compliance functions. 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 and applied AI 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 modern AI tooling—along with 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, outlier detection, and generative AI techniques. Design and implement LLM-powered workflows, using best practices, to automate quality assurance reviews, enrich alert context, and support investigative analysis. Explore and apply AI integration standards such as the Model Context Protocol (MCP) and agentic frameworks to enable seamless connectivity between AI models, internal data sources, and surveillance tooling. Help lead compliance AI initiatives by identifying high-impact use cases, championing proof-of-concept development, and partnering with compliance leadership and technology teams to drive responsible AI adoption from ideation through production. Utilize advanced statistical techniques and optimization methods to enhance model performance. Engage in Natural Language Processing (NLP) and 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. Knowledge of large language models (LLMs), prompt engineering, and NLP techniques, with the ability to apply them to compliance and surveillance use cases. Must demonstrate technical creativity and the ability to design end-to-end solutions, including AI-assisted tooling, with a compliance mindset. Must possess strong analytical skills with the ability to identify anomalies and patterns in complex data. Proficiency with Business Intelligence platforms and data visualization tools (e.g., Tableau). 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: Track record of leading or significantly contributing to AI initiatives within a compliance, risk, or regulatory environment. Experience building RAG pipelines, fine-tuning LLMs, or developing agentic AI workflows for domain-specific applications. Familiarity with AI integration protocols (e.g., Model Context Protocol) and orchestration frameworks for connecting models to enterprise data and tools. Experience with Cloud AI platforms and MLOps practices for deploying and monitoring models in production. 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 Minimum 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 strive to make every interaction, product and experience remarkably human and refreshingly simple. 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. 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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. If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact. We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best. 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 [email protected]. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process. 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Helping to Make an Impact in Communities – TD Ready Commitment TD has a long-standing commitment to help drive progress towards a more inclusive and sustainable future. That’s why we launched the TD Ready Commitment in 2018, now a multi-year North American initiative. Under the TD Ready Commitment, we are targeting a total of C$1 billion by 2030 in community giving across four key, interconnected drivers of change: Financial Security, Vibrant Planet, Connected Communities, and Better Health. It’s our goal to help support change, nurture progress, and contribute to making the world a better, more inclusive place for our customers, colleagues, and communities. Learn more: Canada | US | Europe & Asia Pacific