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

About the role

The Global Surveillance Team within the Global Compliance Department at TD Bank Group is seeking an experienced VP-level Quantitative Analyst. The role focuses 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.

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, 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.
• 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.

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.
• 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.
• Able to maintain high-quality, up-to-date technical documentation.

Qualifications

• Hold at least a bachelor's degree in a quantitative field (Mathematics, Statistics, Data Science, Financial Engineering).

Skills

• Technical expertise, machine learning and applied AI capabilities.
• Domain knowledge in market surveillance.

Benefits

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.

Pay

$150,000 - $200,000 USD

Schedule

40 hours per week