Customer Due Diligence Analyst III

Work Location:

Hours:

Line of Business:

Pay Details:

Were committed to providing fair and equitable compensation to all our colleagues. As a candidate we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions including pay details for this role.

Job Description:

Business Unit Overview:

Global Operations and Business Services employees are unique individuals whose varied talents and experiences bring value to the way they deliver for the franchise. Whether you are analytical or creative business savvy or a people person Global Operations and Business Services provides an ideal opportunity to succeed.

The Global Operations and Business Services team is a diverse and dynamic group of people delivering continued business success through leadership collaboration innovation and visionary thinking. We provide critical infrastructure services that support and/or control the trading investment and corporate banking functions of TD Securities.

Within our core values we foster a culture of diversity inclusion and community support/giving.

Team Overview:

Global Business Services & Operations is at the core of TD Securities. We are a dynamic multi-faceted division that partners with all parts of the Dealer including Sales & Trading to provide banking securities and asset management services to clients globally. Global Business Services & Operations recruits highly motivated individuals who can help the Dealer and our clients facilitate business. Professionals in Global Business Services & Operations come from a variety of academic and professional backgrounds.

The successful candidate will be part of the Client Management team within Global Business Services & Operations. The teams primary responsibility is relationship management coordination and management of onboarding of clients for TD Securities globally. Client Management is also responsible for assisting with large client relationships initiatives that impact the dealer. The Client Management team is committed to ensuring services provided across the Bank and to its clients are delivered in a professional manner that risk is minimised and the client has a positive experience. The candidate is expected to think creatively improve the daily process and take responsibility and ownership for this to happen..

Job Description/Accountabilities:

• Verify a number of CDD requirements for clients at onboarding period review and ad-hoc events to ensure compliance with Global AML standards and UK/ Ireland procedures as applicable;
• Utilize various independent online sources to obtain requisite information to suffice the UK/Ireland CDD requirements;
• Understand the client risk assessment and be able to apply the appropriate level of due diligence to the client;
• Familiar the MiFID classification FATCA/CRS form is a plus for this role;
• Achieve exceptional quality of AML analysis via information / documentation review and accurate data entry
• Work closely with the Sales and Trading desks and potentially interact directly with clients as required
• Conduct client outreach via both emails and phone calls
• Liaise with Regional counterparts to consolidate requirements to avoid multiple touchpoints during client outreach
• Liaise with internal stakeholders (e.g. Sales and Trading desks Data Services teams etc.) on queries/suspension of codes on trading and book of records systems
• Liaise with various business partners to provide prompt and accurate responses to inquiries regarding CDD requirements obtain KYC information and escalate when necessary;
• Assist in the audit and regulatory exam processes by gathering data for internal auditors and other control areas as required;

Be actively engaged in identifying opportunities for process improvement and enhancing efficiencies.

Job Requirements

• Proven experience working in Customer Due Diligence (CDD)
• Solid understanding of the UK and Ireland AML/CDD requirements;
• Has a solid understanding of the client onboarding end to end process including the new global regulatory framework credit legal AML/KYC FATCA CRS MIFID and the role of various stakeholders involved
• A good level of attention to detail and checking skills
• Complete work within specifically defined parameters with guidance / direction from management as necessary;
• Ability to adhere to strict deadlines and where required handle high volumes of work in a demanding environment;
• Ability to analyze research organize and prioritize work while meeting multiple deadlines
• Good team player as well as be able to work independently
• Self-motivated and goal-oriented with the ability to develop tactical solutions to project and or day-to-day problems;
• Strong communication skills both verbally and written;
• Proficient in Microsoft Office applications including EXCEL WORD and POWERPOINT
• Familiar with the Investment Banking operating environment

Who We Are

TD is one of the worlds leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day we strive to make every interaction product and experience remarkably human and refreshingly simple for over 27 million households and businesses in Canada the United States and around the world. More than 95000 TD colleagues bring their skills talent and creativity to foster deeper relationships ensure disciplined execution and build a simpler faster banking experience. TD is deeply committed to being a leader in client experience that is why we believe that all colleagues no matter where they work are client facing. Together we are reimagining what banking can be for our clients colleagues and communities.

Our Total Rewards Package
Our Total Rewards package reflects the investment we make in our colleagues to help them and their families achieve their well-being goals. Total Rewards at TD includes a base salary and several other key plans such as health and well-being benefits including medical coverage paid time off career development and reward and recognition programs.

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.

Colleague Development

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.

Interview Process
Well reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation

If you require an accommodation for the recruitment / interview process (including alternate formats of materials or accessible meeting rooms or other accommodation) please let us know and we will work with you to meet your needs.