Client Due Diligence
4 months ago
**Work Location**:
Toronto, Ontario, Canada
**Hours**:
37.5
**Line of Business**:
TD Securities
**Pay Details**:
**Global Operations and Business Services - Client Due Diligence: Associate**
As a top 10 North American bank, TD aims to stand out from its peers by having a differentiated brand. Anchored in our proven business model and rooted in a desire to give our customers, communities, and colleagues the confidence to thrive in a changing world. The TD Framework embodies our culture and guides our behavior as we execute on our business strategy of being a premier Canadian retail bank, a top U.S. retail bank, and a leading Wholesale business aligned with our retail franchise.
- You champion an innovative culture and mindset by challenging and evolving the business strategy. You identify and execute innovative improvement opportunities; inspire the adoption of new technologies, models and methodologies to enhance productivity, operational effectiveness of the business, and the client experience, while supporting an effective control environment.
- You have expert knowledge and understanding of the client due diligence requirements involving AML/KYC, FATCA, CRS, Compliance, including some legal and privacy requirements, and understands the role of other various stakeholders involved in the due diligence review.
- You establish collaborative relationships with partners and communicate complex issues to a wide array of stakeholders, including, but not limited to, front office, compliance, legal, governance, audit, and other control partners
- You are a cross functional process expert and conducts research, analysis and reporting on a range of operational and service issues and recommend/implement solutions within own area of responsibility
- You execute on more complex and/or non-standard processes and requests of high complexity and risk/financial impact
- You facilitate critical projects and strategic special initiatives within a defined functional area that may require broader partnership across TDS and/or other TD enterprise functions.
- You identify opportunities to optimize internal business processes and strategies with technology solutions; identify development needs in order to increase operational efficiency and productivity.
- You prioritize competing requests and multiple tasks in a deadline driven environment with meticulous attention to detail and organizational skills.
- You have practical knowledge of programming tools, such as UiPath, Alteryx, Python, SQL, Tableau, SharePoint, etc.
**Department 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.
**Specific individual accountabilities include**:
- Enhance management decision making on policies and processes based on direction and insights generated from regulatory changes via changes in enterprise policy and standards to advance the operating model and BAU and elevate service quality.
- Actively maintain understanding of internal policies and industry regulations & trends, developing and sharing knowledge of emerging issues/risks, and assess potential impacts, as applicable, as it relates to operating policies, standards and procedures
- Act as conduit/coordinator/facilitator bringing in appropriate partners/ expertise on key initiatives
- Communicate project status and provide timely escalation of issues to senior management to ensure project objectives are met
- Act as lead to analyze service delivery issues and conduct internal/external research projects and/or contribute to audit reviews;
- Run testing, and generate reports to identify potential solutions within TD's risk appetite that enhance the customer experience and support business objectives
- Accountable for cross-functional interdepartmental initiatives to deliver value internally or to partner/customer groups while building and maintaining strong relationships with internal stakeholders
- Provide accurate and thorough analysis of key process drivers, root or systemic causes of cross functional operational issues, interpret findings and make recommendations
- Facilitate the implementation of policies/processes and/or initiatives to meet functional objectives.
- Provide upward feedback and analysis, developing and executing on reporting functions and/or producing consolidated or aggregated reporting as appropriate
- Maintain and develop working relationships with customers, partners and vendors by representing the broader Operations function, addressing complex customer issues within the context of the ful
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