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
- Minimum 3 years experience in the CDD space
- 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 world’s leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.
TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you’ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we’re here to support you towards your goals. As an organization, we keep growing – and so will you.
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