Senior Business Analyst, Compliance Surveillance Technology (Vice President)

Overview

The VP Technology Business Analyst will partner with Compliance, Technology, and Front Office stakeholders to define, deliver, and continuously enhance trade and electronic communications surveillance capabilities. The role focuses on translating regulatory and business requirements into high-quality technology solutions, with strong knowledge of surveillance platforms (e.g., SMARTS, TradingHub) and hands-on experience applying AI/analytics techniques to surveillance use cases. Experience in Cash Equities and/or Fixed Income related products, including booking models and trade flows, is highly desirable—particularly for Trade Surveillance implementations.

Key Responsibilities

Regulatory Requirements & Business Analysis:

1. Own end-to-end business analysis for trade surveillance and eComms surveillance initiatives (new capabilities, enhancements, migrations, regulatory change).
2. Elicit, document, and manage: business requirements, functional specs, user stories, acceptance criteria, workflows, and operating models.
3. Lead workshops with Compliance Surveillance, Legal/Regulatory, Operations, and Technology to align scope and outcomes.
4. Demonstrate working knowledge of surveillance systems and integrations, including:
5. SMARTS (NASDAQ)
6. MAST (TradingHub) and/or similar TradingHub surveillance components
7. Case management workflows and alert ingestion pipelines
8. Define and validate source-to-target mappings from OMS/EMS, exchange/venue feeds, reference data, and communications archives into surveillance platforms.
9. Ensure controls around lineage, reconciliation, completeness, and evidentiary standards.

AI / advanced analytics enablement:

1. Identify and translate AI/ML opportunities into implementable requirements (e.g., alert triage, clustering, anomaly detection, NLP for comms, entity resolution).
2. Partner with data science/engineering teams to define training data needs, evaluation metrics, model governance, and human-in-the-loop workflows.
3. Ensure explainability, auditability, and model risk considerations are addressed in requirements and operating procedures.

Stakeholder management & governance:

1. Act as a key liaison between Compliance and Technology; manage prioritization, trade-offs, and delivery timelines.
2. Support UAT planning/execution, test strategy, and production readiness (runbooks, controls, monitoring, SLAs).

Required Skills & Experience

1. Experience as a VP level Business Analyst / Product Analyst in a technology delivery environment (Agile, hybrid, or waterfall).
2. Strong domain knowledge of Equities and Fixed Income market structure and trade lifecycle (orders, executions, allocations, confirmations
3. Proficiency in SQL and familiarity with data analysis tools (e.g., Python, Excel, Tableau).
4. Hands-on experience working with surveillance platforms such as SMARTS and MAST (TradingHub), or closely comparable vendor tools.
5. Strong understanding of data integration concepts: message formats, data models, reference/master data, reconciliation, and controls.
6. This is a hands-on analysis role, primarily as an individual contributor with potential to lead a small team of global business analysts.
7. Excellent documentation and communication skills; able to translate complex business problems into clear specifications.
8. Familiarity with communications surveillance is beneficial but not required (role is trade-surveillance focused unless specified).