VP Compliance-Model Data and Governance

TD Bank; New York (NY); On-site; USD 150,000 - 180,000; Full time

Job summary

TD Bank Group in New York is seeking a senior Compliance leader to oversee the Model and Data Governance program, aligning AI usage with enterprise strategy and governance. The VP will monitor AI model performance and drive data quality across the Compliance Data Repository.

The role partners with data scientists, analysts, and compliance teams to ensure a scalable, safe, and compliant AI program, while guiding governance and policy enhancement across the organization.

Qualifications

• The VP, Compliance - Model and Data Governance is responsible for ensuring AI and data usage within TDS Compliance aligns with enterprise strategy and governance principles.
• The role will monitor the performance of AI models and agents to ensure effective and sound implementation.
• In addition, the role will work closely with data scientists and data analysts within the Compliance Intelligence Unit, as well as the broader TDS Compliance and Compliance Technology towards effective and timely implementation of the TDS Compliance AI and data strategy.

Responsibilities

• Monitor performance of AI models and agents.
• Build and maintain business intelligence dashboards.
• Define requirements for ingestion and integration of data in the Compliance Data Repository.
• Define requirements for data quality across all data used in Compliance, including completeness, timeliness, accuracy and lineage.
• Ensure AI and data usage within Compliance adheres to enterprise standards and governance.

Job description

Work Location

New York, New York, United States of America

Hours

40

Line of Business

Compliance

Pay Detail

150,000 - 180,000 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

Preferred Qualifications

The VP, Compliance - Model and Data Governance is responsible for ensuring AI and data usage within TDS Compliance aligns with enterprise strategy and governance principles. The role also involves monitoring the performance of AI models and agents to ensure effective and sound implementation. In addition, the role will work closely with data scientists and data analysts within the Compliance Intelligence Unit, as well as the broader TDS Compliance and Compliance Technology towards effective and timely implementation of the TDS Compliance AI and data strategy.

The Global Compliance Department oversees regulatory compliance across TDBG in accordance with the Global Compliance Operating Framework. The department promotes regulatory compliance by developing and maintaining compliance programs, identifying and disseminating regulatory developments to supported businesses, 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.

Role Scope

• Work with the rest of the Compliance Intelligence Unit as a senior Compliance professional focused on data, AI integration, enterprise governance, and program enhancement.
• Ensure Compliance data accessibility and quality, and adherence to enterprise data and AI usage standards.
• Operate as a leader of change and a culture-carrier for excellence and continuous improvement across Compliance program enhancement activities.
• Execute the role in support of a highly effective, efficient, focused, embedded and sustainable surveillance program.

Functional Accountabilities

AI, Advanced Analytics and Compliance Data

• Monitor performance of AI models and agents.
• Build and maintain business intelligence dashboards.
• Evaluate AI usage within Compliance to ensure impact, scalability, safety and sustainability.
• Define requirements for ingestion and integration of data in the Compliance Data Repository.
• Define requirements for data quality across all data used in Compliance, including completeness, timeliness, accuracy and lineage.
• Ensure AI and data usage within Compliance adheres to enterprise standards and governance.

Program Enhancement and Regulatory Alignment

• Lead reviews of the current program and work with Advisory Compliance, Technology, and first line of defense business and risk and control partners to enhance the program consistent with regulatory expectations.
• Align program enhancement activities to expectations of relevant regulatory authorities, including SEC, CFTC, Federal Reserve, OCC, Financial Conduct Authority, MAS, HKMA and UK PRA.
• Support strategic focus and actively work with IT, Communications Surveillance leadership and Trade Surveillance leadership to produce a highly effective, efficient, focused, embedded and sustainable surveillance program.
• Coordinate and participate in vendor and client roundtable forums and industry conferences or events focused on surveillance.
• Support the documentation and enhancement of policies and procedures to ensure the program is documented and evidenced consistent with firm and regulatory requirements.

Shared Governance and Leadership Accountabilities

• With business and other Risk partners, promote a strong governance and control environment with periodic assessments against industry practices.
• With Risk, ensure the Bank operates within the compliance risk appetite and that operational risk from a Compliance standpoint is effectively mitigated, assessed and managed.
• Remain current on emerging risks, trends and evolving regulatory requirements for Compliance and the QM and QAR teams.
• Build a positive, diverse and open work environment by continually improving efficiency, sharing deep knowledge and skills, and encouraging the team to deliver results.
• Attract, develop and retain talent, and maintain an active talent pipeline.
• Advance TD's leadership development, colleague experience