Vice President, Business Systems Analyst Specialist

TD Bank•New York, NY

2d•Onsite

About The Position

TD Securities is seeking a highly experienced Lead Business Systems Analyst to join its Compliance Technology team, specializing in trade and communications surveillance. The role leads analysis, design, and delivery of technology capabilities that help Compliance and Supervision meet regulatory obligations, detect potential market abuse and misconduct, and manage trading and electronic-communications risks. It serves as a primary liaison among Compliance stakeholders, technology and data-science teams, and external vendors, ensuring solutions are effective, compliant, scalable, and aligned with business strategy. The position leads the delivery of detailed system requirements and technical and functional specifications in accordance with standards and frameworks. It works closely with business partners, technology teams, project teams, and stakeholders to elicit, analyze, document, communicate, and manage requirements. The analyst develops solution options, supports testing and project delivery, and may provide operational or process analysis. As a senior or lead analyst and subject-matter expert, the role also guides colleagues and consults with clients or project teams. The role covers requirements gathering, surveillance solution design, data analysis and validation, platform and vendor management, and regulatory awareness. It includes evaluating analytics such as NLP, machine learning, and generative AI; supporting responsible-AI controls and human oversight; and maintaining governance, auditability, and regulatory evidence. The position is located in New York, New York, and is listed at 40 hours, with a salary range of $140,000 to $225,000 USD.

Requirements

At least 7 years of relevant experience; the role-specific requirements specify a minimum of 7 years in financial services, with a strong focus on trade surveillance, communications surveillance, market-abuse or conduct-risk monitoring, compliance technology, and/or global-markets front-office functions.
Bachelor's degree in Finance, Economics, Computer Science, Data Science, Engineering, Information Systems, or a related field; the broader role description also accepts an undergraduate degree or technical certificate.
Strong understanding of communications-surveillance concepts, including lexicon- and policy-based detection, behavioral analytics, multilingual content, transcription, electronic-communications capture, case management, sampling, alert review, and investigation workflows.
Strong SQL and data-analysis skills and experience with high-volume structured, semi-structured, and unstructured datasets.
Knowledge of data governance, metadata, lineage, reconciliation, data quality, privacy, security, retention, and records-management controls applicable to regulated communications.
Familiarity with model risk management, responsible AI, explainability, prompt and output controls, human oversight, validation, monitoring, and change-management practices for advanced analytics.
Exceptional communication skills and the ability to bridge technical, data-science, compliance, and business perspectives across global teams.
Demonstrated leadership in requirements management, product or project delivery, vendor management, and cross-functional collaboration.
Expert knowledge of system-analysis processes and techniques, supported systems and applications, system components, functionality, interfaces, data flows, and business rules.
Expert knowledge of enterprise technology-delivery practices and standards, including design, development, testing, and project management.
Ability to work independently as a senior or lead system analyst, consult with clients or project teams, and coach or guide colleagues.
Ability to define detailed functional specifications and support product, performance, user-acceptance, and operational-acceptance testing.

Nice To Haves

Advanced degree or relevant certifications.
Familiarity with Python, distributed data processing, cloud data platforms, APIs, and search technologies.
Working knowledge of NLP, machine learning, LLMs, generative AI, embeddings, vector search, classification, clustering, anomaly detection, and graph or network analytics.
Experience evaluating model and scenario performance.

Responsibilities

Partner with Compliance, Surveillance, Supervision, Global Markets, Legal, and Data stakeholders to gather, refine, and prioritize requirements for trade and communications surveillance systems.
Lead stakeholder workshops and interviews and translate regulatory, policy, conduct-risk, privacy, data-retention, and market-structure needs into functional and non-functional specifications.
Define communications-surveillance use cases and connect communications context with trade, order, employee, and reference data where appropriate.
Develop and maintain business-process models, data-flow diagrams, data lineage, use cases, and control requirements for surveillance workflows.
Collaborate with developers, architects, data engineers, data scientists, and model-risk partners to design scalable solutions for global-markets activity and high-volume communications data.
Support configuration, tuning, calibration, and optimization of surveillance scenarios, policies, lexicons, alerts, and detection logic.
Evaluate and help implement advanced analytics, including NLP, machine learning, LLMs, semantic search, entity extraction, clustering, anomaly detection, and network analytics.
Define human-in-the-loop workflows, explainability, auditability, access controls, and responsible-AI requirements for analytics and generative-AI capabilities.
Analyze complex trade, order, market, communications, employee, and reference datasets to identify surveillance gaps, conduct-risk indicators, and anomalous patterns.
Partner with data engineering teams to ensure data-feed quality, completeness, timeliness, lineage, reconciliation, retention, and traceability.
Use SQL and analytical tools for data profiling, mapping, validation, trend and root-cause analysis, and control testing across distributed big-data environments.
Define and assess model and scenario performance using measures such as precision, recall, false-positive rates, coverage, drift, and outcome-based effectiveness.
Define, manage, and execute UAT plans, test cases, model-validation support, data-quality checks, and defect-resolution processes.
Work with surveillance platforms and adjacent data technologies to optimize capability, control effectiveness, and system performance.
Coordinate with vendor support and product teams to troubleshoot production issues, assess product roadmaps, oversee upgrades, and manage delivery dependencies.
Assess vendor analytics and AI capabilities for fitness for purpose, transparency, security, privacy, data handling, model risk, and regulatory compliance.
Maintain awareness of regulatory expectations, enforcement trends, recordkeeping obligations, privacy considerations, and industry practices relevant to surveillance.
Recommend improvements to surveillance coverage, investigative workflows, data controls, governance, and operating processes.
Support governance artifacts, traceability, audit and regulatory responses, change management, and evidence that surveillance controls operate as designed.
Research current-state system capabilities and define technology solution options and recommendations with technology partners such as solution designers and architects.
Translate business requirements into functional specifications that account for non-functional requirements; support testing teams in translating requirements and use cases into test conditions and expected results.
Participate in project scoping and estimation, risk identification and mitigation recommendations, status communication, and timely escalation of issues to the Project Manager.
Participate in quality-management reviews of designs, prototypes, and other requirements work products.
Collaborate with stakeholders to determine solutions, assess impacts to existing processes and systems, and manage integration.
Adhere to requirements-management, project-management, enterprise technology-delivery, and business technology architecture standards; escalate issues as required.
Keep current with relevant technology trends and business domains, and support business cases, benefits identification, RFI/RFP processes, and vendor or supplier service-level agreements.
Manage workload and timelines, contribute to a positive and communicative team environment, participate in knowledge transfer, and coach newer colleagues.
Identify and recommend opportunities to improve productivity, effectiveness, and operational efficiency.