• Director, Trade Surveillance - Data Quality

    TD Bank (New York, NY)
    …surveillance data-quality issues, implement controls to prevent recurrence, and enhance reporting mechanisms for senior management. + Stakeholder Engagement: ... Ensure TDS meet regulatory requirements as it related to surveillance data (eg, SEC , CFTC, NFA, FINRA, FCA, CIRO, etc.) and aligns with internal compliance policies.… more
    TD Bank (09/21/25)
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