Lead Compliance Systems Analyst – Surveillance & Data

TD Bank Group; New York (NY); On-site; USD 140,000 - 225,000; Full time

Job summary

TD Bank Group in New York seeks a Lead Business Systems Analyst to join the Compliance Technology team, focusing on trade and communications surveillance. You will guide requirements, design, and delivery of scalable controls across trading activity and electronic communications, partnering with Compliance, Legal, Data Science, and external vendors.

The role requires 7+ years in financial services, strong SQL and data analytics, with knowledge of NLP/ML, governance, and model validation.

Responsibilities

• Translate complex regulatory, policy, and conduct-risk requirements into functional specs.
• Lead workshops with stakeholders to capture business needs for surveillance systems.
• Define use cases across electronic communications and connect with trade data.
• Develop data-flow models, data lineage, and control requirements for surveillance workflows.
• Coordinate with vendors and platform teams to implement scalable solutions.
• Define UAT plans, validation tests, and defect-resolution processes.

Skills

Stakeholder engagement

Requirements gathering

SQL

Python

Data analysis

NLP

ML/LLMs

Regulatory knowledge

cross-functional comms

Education

Bachelor's degree in Finance, CS, Data Science, or related field

Tools

SQL tools

Python

Cloud data platforms

APIs

Search technologies

Smarsh/SMARTS

Job description

TD Bank Group in New York seeks a Lead Business Systems Analyst to join the Compliance Technology team, focusing on trade and communications surveillance. You will guide requirements, design, and delivery of scalable controls across trading activity and electronic communications, partnering with Compliance, Legal, Data Science, and external vendors.

The role requires 7+ years in financial services, strong SQL and data analytics, with knowledge of NLP/ML, governance, and model validation.