New York, New York, United States of America

40

Technology Solutions

$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.

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.

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.

· 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 standards and frameworks. Provides technical leadership and works in close partnership with business partners / technology / project teams and stakeholders to plan, elicit, analyze, document, communicate, and manage detailed functional specifications.

• Expert knowledge of system analysis process and techniques
• Expert knowledge of systems and applications supported by the team including system components, functionality, interfaces, data flows, and business rules
• Expert knowledge of enterprise technology delivery practices and standards and related expertise including design, development, testing and project management
• Advanced to Expert understanding of business supported and broader organization
• Works independently as the senior or lead system analyst and coaches / guides members within area of expertise
• Subject matter expert and consults with clients and / or project teams and may be involved in the assessment of potential projects

• Undergraduate degree or Technical Certificate
• 7+ years relevant experience

• Develops effective and efficient solutions by researching / analyzing current state system capabilities and defining technology solutions options / recommendations working closely with key technology partners (e.g., Solution Designers and Architects)
• Defines, documents, and translates business requirements into detailed functional specifications taking into account non-functional requirements
• Supports testing teams in translating requirements and uses cases into test conditions and expected results for product, performance, user acceptance, and operational acceptance testing
• Supports and contributes to project management activities by participating in the scoping and estimating of project efforts, risks identification and mitigation measures recommendation, communicating activity status, and providing timely notification and escalation of possible issues/problems to the Project Manager
• Participates in quality management reviews, in particular reviews of the designs, prototypes, and other requirements work products to ensure they fulfill the requirements
• Supports collaboration with key stakeholders to determine solutions, assesses impact to existing work processes and systems, and how to manage the integration
• May provide operational / process related analysis and support to various extents

• Adheres to existing processes / standards including requirements management and project management disciplines, well-defined enterprise technology delivery practices and standards, and business technology architecture, escalating escalate issues as required
• Continuously enhances knowledge / expertise in own area and keeps current with leading-edge technologies trends / developments and develops expertise in TD services, applications, infrastructure, analytical tools, and techniques that can contribute to effective solution development / delivery
• Continuously enhances knowledge of business domains and their products / services
• Supports the development of business cases including benefits identification, RFI/RFP, and service level agreements with vendors / suppliers consistent with technology requirements / guidelines

• Prioritizes and manages own workload in order to deliver quality results and meet timelines
• Supports a positive work environment that promotes service to the business, quality, innovation, teamwork, and ensures timely communication of issues / points of interest
• Participates in knowledge transfer within the team and business units
• Coaches new or less experienced colleagues and acts as a reference for the requirements management lifecycle
• Identifies and recommends opportunities to enhance productivity, effectiveness, and operational efficiency of the business unit and / or team

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%

• Domestic Travel – Occasional
• International Travel – Never
• Performing sedentary work – Continuous
• Performing multiple tasks – Continuous
• Operating standard office equipment - Continuous
• Responding quickly to sounds – Occasional
• Sitting – Continuous
• Standing – Occasional
• Walking – Occasional
• Moving safely in confined spaces – Occasional
• Lifting/Carrying (under 25 lbs.) – Occasional
• Lifting/Carrying (over 25 lbs.) – Never
• Squatting – Occasional
• Bending – Occasional
• Kneeling – Never
• Crawling – Never
• Climbing – Never
• Reaching overhead – Never
• Reaching forward – Occasional
• Pushing – Never
• Pulling – Never
• Twisting – Never
• Concentrating for long periods of time – Continuous
• Applying common sense to deal with problems involving standardized situations – Continuous
• Reading, writing, and comprehending instructions – Continuous
• Adding, subtracting, multiplying, and dividing – Continuous

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.

Who We Are

TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we strive to make every interaction, product and experience remarkably human and refreshingly simple. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank.

Together, we are reimagining what banking can be for our clients, colleagues and communities.

Our Total Rewards Package

Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more

We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development

If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities.

If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.

We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.

Training & Onboarding

We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Interview Process

We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.