Vice President, Business Systems Analyst Specialist

Work Location :

Hours:

Line of Business:

Pay Detail:

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 candidates 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.

Bachelors 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.

Depth & Scope:

• 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

Education & Experience:

• Undergraduate degree or Technical Certificate
• 7 years relevant experience

Customer Accountabilities:

• 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

Shareholder Accountabilities:

• 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

Employee/Team Accountabilities:

• 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

Physical Requirements:

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 6500 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 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

Additional Information:
Were delighted that youre considering building a career with TD. Through regular development conversations training programs and a competitive benefits plan were committed to providing the support our colleagues need to thrive both at work and at home.

If youre interested in a specific career path or are looking to build certain skills we want to help you succeed. Youll 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 youre 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.

Were 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 youve got everything you need to succeed in your new role.

Accommodation

TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race color religion sex sexual orientation gender identity national origin age disability status as a protected veteran or any other characteristic protected under applicable federal state or local law.

If you are an applicant with a disability and need accommodations to complete the application process please email TD Bank US Workplace Accommodations Program at . Include your full name best way to reach you and the accommodation needed to assist you with the applicant process.

Required Experience:

Exec