JOB DESCRIPTION/ACCOUNTABILITIES:

• Conduct AML reviews: Verify AML requirements (KYC, FATCA, CIRO, CRS), ensuring compliance during onboarding, periodic reviews, and ad-hoc events.
• Conduct in-depth research using independent online sources to gather requisite information for client due diligence.
• Liaise with business partners: Respond to regulatory inquiries and escalate issues as needed to ensure compliance.
• Maintain audit trails: Ensure accurate tracking of incoming requests and documentation throughout the process.
• Assist in regulatory audits by gathering relevant data for auditors and internal control teams.
• Deliver exceptional quality: Perform accurate data entry, mitigating risks related to regulatory, financial, operational, or reputational exposure.
• Identify opportunities for improvement: Engage in process enhancement initiatives to improve efficiency.
• Assist with strategic initiatives and participate in the rollout and adoption of new operational and regulatory initiatives.

JOB REQUIREMENTS:

• Knowledge of AML regulations including PCMLTFA, FATCA, and CIRO, as well as a strong understanding of the TD Securities business environment.
• Ability to work on routine and ad-hoc requests within defined parameters, while handling operational and reporting functions.
• Strong organizational and problem-solving skills to meet deadlines in a high-volume environment.
• Excellent communication skills: Ability to collaborate effectively with team members and business partners.
• Proficiency with MS Office tools, particularly Excel, and experience with Bloomberg/Impact. Technical skills in UI Path, Alteryx, VBA are a plus.

WHO WE ARE:

TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.

Please refer the Job description for details