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:
Summary:
We are seeking a highly experienced Lead Business Systems Analyst (BSA) to join our Compliance Technology team, specializing in Trade Surveillance. This role requires deep experience within the financial services industry, specifically in trade surveillance and/or global markets front-office domains. You will lead the analysis, design, and delivery of technology solutions that enable our Compliance function to meet regulatory obligations, detect potential market abuse, and manage trade-related risks. Acting as the primary liaison between Compliance stakeholders, technology teams, and external vendors, you will ensure solutions are operationally effective, regulatory compliant, and aligned to the business strategy.
Required Skills:
Stakeholder Engagement & Requirements Gathering
- Partner with Compliance, Surveillance, Supervision, and Global Markets stakeholders to capture, refine, and prioritize business requirements for trade surveillance systems.
- Lead workshops and interviews with front-office, control, and technology stakeholders to align functional requirements with market practices.
- Translate complex regulatory, policy, and market-structure requirements into clear functional and non-functional specifications.
Solution Design & Delivery Oversight
- Develop and maintain business process models, data flow diagrams, and use cases for trade surveillance workflows.
- Collaborate with developers and architects to design solutions tailored for global markets trade activity.
- Support configuration, tuning, and calibration of surveillance scenarios, alerts, and detection logic to minimize false positives and maximize detection accuracy.
Data Analysis & Validation
- Analyze complex trading, order, and market data to identify potential surveillance gaps or anomalies.
- Partner with data engineering teams to ensure quality, completeness, and timeliness of trade and market data feeds.
- Define, manage, and execute UAT plans, test cases, and defect resolution processes.
Vendor & Platform Management
- Work with leading surveillance platforms (e.g. - SMARTS, Trading Hub) to optimize system performance.
- Coordinate with vendor support teams to troubleshoot production issues and oversee platform upgrades.
Regulatory Awareness & Best Practices
- Recommend process and control improvements based on industry best practices and market evolution.
Education & Experience:
- Required: Minimum 7 years of experience in the financial services industry with a strong focus on trade surveillance, market abuse monitoring, and/or global markets front-office functions.
- Bachelor’s degree in Finance, Economics, Computer Science, or related field; advanced degree or relevant certifications preferred.
- Deep understanding of trade lifecycle, order flow, and market structure across multiple asset classes (equities, fixed income, derivatives, FX, commodities).
- Strong SQL and data analysis skills, with the ability to interpret large and complex datasets.
- Exceptional communication skills with the ability to bridge technical and business perspectives across global teams.
- Demonstrated leadership in requirements management, project delivery, 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.
