Vice President, Compliance Technology Lead

TD; Village of Pelham (NY); On-site; USD 140,000 - 225,000; Full time

Job summary

TD is seeking a Lead Business Systems Analyst to join Compliance Technology, focusing on Trade and Communications Surveillance. You will lead analysis, design, and delivery of capabilities to meet regulatory obligations and detect market abuse.

You will liaise with Compliance, technology, data science, and external vendors to ensure scalable, compliant solutions across large datasets. The role requires deep FS experience in surveillance, strong SQL/data-analysis skills, and familiarity with NLP,

Qualifications

• Weeks of experience in financial services with trade/communications surveillance.
• Strong SQL and data-analysis skills across large datasets.
• Familiarity with NLP, ML, LLMs, embeddings and related analytics.
• Experience bridging technical, data-science, compliance and business teams.

Responsibilities

• Lead analysis, design, and delivery of surveillance technology capabilities.
• Partner with Compliance, Legal, and Global Markets to capture requirements.
• Define use cases for electronic communications and connect data contexts.
• Oversee vendor/platform management and regulatory compliance considerations.

Skills

Stakeholder engagement

Requirements gathering

Workshops & interviews

SQL & data analysis

NLP & ML concepts

LLMs & generative AI

Regulatory awareness

Communication skills

Education

Bachelor's degree in Finance/Economics/CS/Data Science/Engineering/IS

Tools

SMARTS

TradingHub

Behavox

Smarsh

Job description

TD is seeking a Lead Business Systems Analyst to join Compliance Technology, focusing on Trade and Communications Surveillance. You will lead analysis, design, and delivery of capabilities to meet regulatory obligations and detect market abuse.

You will liaise with Compliance, technology, data science, and external vendors to ensure scalable, compliant solutions across large datasets. The role requires deep FS experience in surveillance, strong SQL/data-analysis skills, and familiarity with NLP,