Client Due Diligence

4 weeks ago

Toronto, Canada The Toronto-Dominion Bank (Canada) Full time

Description

:

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.

The successful candidate will be part of the Client Due Diligence team within Global Business Services & Operations. The Client Due Diligence 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.

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 Lead work streams by acting as a project lead/subject matter expert for small-scale initiatives/projects in accordance with project management methodologies 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 full end-to-end process Escalate and manage client issues proactively and in a timely manner Consistently exercise discretion in managing correspondence, information and all matters of confidentiality Contribute to the development/delivery of presentations/communications/reporting to management or broader audiences Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite; adhere to enterprise frameworks and methodologies that relate to operations activities for own area (e.g. Anti-Money Laundering, Business Continuity Management) 

Specific team accountabilities include:

Participate fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure the timely communication of issues/points of interest Provide thought leadership and/or industry knowledge by actively building operations/business services knowledge, think critically about processes and opportunities for improvement, share ideas and transfer knowledge within the team and across the function Participate in personal performance management and development activities, including cross training within own team and other teams in Global Operations & Business Services Keep others informed and up to date about the status/progress of projects and/or all relevant or useful information related to day-to-day activities Contribute to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices Lead, motivate and develop relationships with internal and external business partners/ stake‐holders to develop productive working relationships Contribute to a fair, positive and equitable environment that supports a diverse workforce Act as a brand ambassador for Global Operations & Business Services and the bank, both internally and externally

Job Requirements

Undergraduate degree/ college diploma 7+ years relevant experience and/or post-graduate degree and/or certifications Understanding of Financial Markets and its operating procedures Demonstrates time management skills and commitment to delivering results within aggressive timelines Excellent communication and presentation skills to share recommendations with colleagues High degree of intellectual curiosity, passion, and self-motivation Ability to work independently and within a team environment experience Ability to work within a diverse, global workforce that is client service oriented Ability to understand and find appropriate applications for data and analysis results Meticulous attention to detail and due diligence Sound understanding of risk processes and methodologies Design, creativity, and problem-solving skills Fast learner who is dedicated to continuously improving their skills and expertise. Strong OUTLOOK/EXCEL/POWERPOINT skills Working knowledge of programming tools, such as Alteryx, Python and UiPath is a definite asset.

Inclusiveness

At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected, and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live and serve. 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.

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.

Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical, and mental well-being goals. Total Rewards at TD includes a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs.
 

Additional Information:
We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.
 
Colleague Development 
If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll 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. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.
 
Training & Onboarding
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Interview Process 
We’ll 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 
Your accessibility is important to us. Please let us know if you’d like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.

We look forward to hearing from you

Language Requirement:

N/A.

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