Vice President, Business Systems Analyst Specialist

Work Location :

New York, New York, United States of America

Hours:

40

Line of Business:

Technology Solutions

Pay Detail:

$140,000.00 - $225,000.00 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:

We are seeking a highly experienced Lead Business Systems Analyst (BSA) to join our Compliance Technology team, specializing in Trade and Communications Surveillance. This role requires deep financial-services experience across surveillance, global markets, and data-driven compliance solutions. You will lead the analysis, design, and delivery of technology capabilities that help Compliance and Supervision meet regulatory obligations, detect potential market abuse and misconduct, and manage risks across trading activity and electronic communications. Acting as the primary liaison among Compliance stakeholders, technology teams, data science teams, and external vendors, you will ensure solutions are operationally effective, compliant with regulatory expectations, scalable across large and diverse datasets, and aligned with business strategy.

Required Skills :

Stakeholder Engagement & Requirements Gathering

· Partner with Compliance, Surveillance, Supervision, Global Markets, Legal, and Data stakeholders to capture, refine, and prioritize business requirements for trade and communications surveillance systems.

· Lead workshops and interviews with front-office, control, operations, data, and technology stakeholders to align functional requirements with business processes, market practices, communications channels, and regulatory expectations.

· Translate complex regulatory, policy, conduct-risk, data-retention, privacy, and market-structure requirements into clear functional and non-functional specifications.

· Define use cases across electronic communications, including email, chat, voice transcripts, collaboration platforms, and other approved channels, and connect communications context with trade, order, employee, and reference data where appropriate.

Solution Design & Delivery Oversight

· Develop and maintain business process models, data flow diagrams, data lineage, use cases, and control requirements for trade and communications 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 to improve precision and recall while managing false positives.

· Evaluate and help implement advanced analytics, including natural language processing (NLP), machine learning, large language models (LLMs), semantic search, entity extraction, topic and sentiment indicators, 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 used in surveillance.

Data Analysis & Validation

· Analyze large, complex datasets spanning trades, orders, market data, email, chat, voice transcripts, collaboration tools, employee data, and reference data to identify surveillance gaps, conduct-risk indicators, and anomalous patterns.

· Partner with data engineering teams to ensure the quality, completeness, timeliness, lineage, reconciliation, retention, and traceability of structured and unstructured data feeds.

· Use SQL and analytical tools to perform data profiling, mapping, validation, trend analysis, root-cause analysis, and control testing across distributed big-data environments.

· Define and assess model and scenario performance using appropriate metrics, including precision, recall, false-positive rates, coverage, drift, and outcome-based effectiveness measures.

· Define, manage, and execute UAT plans, test cases, model-validation support, data-quality checks, and defect-resolution processes.

Vendor & Platform Management

· Work with leading trade and communications surveillance platforms and adjacent data technologies (for example, SMARTS, TradingHub, Behavox, Smarsh, cloud data platforms, and search and analytics tools) to optimize capability, control effectiveness, and system performance.

· Coordinate with vendor support and product teams to troubleshoot production issues, assess product roadmaps, oversee platform 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.

Regulatory Awareness & Best Practices

· Maintain awareness of regulatory expectations, enforcement trends, recordkeeping obligations, privacy considerations, and industry practices relevant to trade and communications surveillance.

· Recommend improvements to surveillance coverage, investigative workflows, data controls, governance, and operating processes based on control testing, analytics performance, emerging risks, and market evolution.

· Support governance artifacts, traceability, audit and regulatory responses, change management, and evidence demonstrating that surveillance controls operate as designed.

Education & Experience:

· Required: Minimum 7 years of experience in the financial services industry 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; advanced degree or relevant certifications preferred.

· 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, with experience working with high-volume structured, semi-structured, and unstructured datasets; familiarity with Python, distributed data processing, cloud data platforms, APIs, and search technologies is preferred.

· Working knowledge of NLP, machine learning, LLMs, generative AI, embeddings, vector search, classification, clustering, anomaly detection, graph or network analytics, and techniques for evaluating model and scenario performance.

· 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, with 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.

Plans, manages, and leads the delivery of detailed system requirements and technical / functional specifications in alignment with standar