Work Location:

Toronto, Ontario, Canada

Hours:

37.5

Line of Business:

TD Securities

Pay Details:

$91,200 - $136,800 CAD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description:

TD Securities Overview
TD Securities provides a wide range of capital market products and services to corporate, government and institutional clients who choose us for our knowledge, innovation and experience in the following key areas of finance:

• Capital Markets
• Corporate & Investment Banking
• Global Transaction Banking

Global Operations Overview

With offices located around the world, the strength of TD Securities Global Operations lies in the diverse and dynamic group of individuals who are dedicated to providing ongoing support functions for TD Securities' businesses and their partners. As part of TD Securities, Global Operations professionals have the opportunity to learn end to end processes as well as create relationships with different lines of business. Challenged to learn and grow within their role, members of Global Operations are supported in their goals of innovation, excellence and commitment to customer service.

Department Overview

The Client Due Diligence (CDD) team has responsibility to ensure AML & KYC standards are met at the time of client onboarding and at periodic review to mitigate regulatory, operational and reputational risk to TD, and to ensure appropriate escalation where risk and concerns are identified.

Role Description

The Group Manager II, CDD is a key member of the Global Operations & Business Services division and is accountable for leading the CDD new client onboarding team. In this role, the Group Manager II, CDD will support the TDS business growth strategy while effectively managing regulatory, operational and reputational risk by ensuring AML & KYC requirements are met. The Group Manager II will report directly to the Senior Manager, CDD.

If you are someone who is passionate about building and maintaining relationships, developing talent, have product and client onboarding knowledge, and are excited about contributing towards strategic initiatives in an effort to continually grow the business, we'd love to hear from you!

• Supporting the Senior Manager, CDD in various initiatives and deliverables
• Development of the CDD, New Client Onboarding team to ensure they have the skillsets necessary to propel the broader Global Operations and CDD strategies forward, as well as meet individual development objectives;
• Acting as primary contact for internal partners and clients when inquiries or concerns are raised as part of the onboarding process;
• Assess onboarding requests to determine appropriate priority and urgency is assigned to each request, and ensure effective and proactive communication is maintained with internal partners in regards to status, challenges and expected completion timeframes
• Working Manager role that provides overall direction to the team and managing ad-hoc tasks and concerns
• Support various audit, testing and regulatory exam engagements;
• Proactively identify opportunities to improve internal processes and suggest meaningful solutions to achieve efficiencies;
• Owning the CDD onboarding process to ensure a seamless and positive client and partner experience;
• Supporting ad hoc requests from partners, including Front Office, Compliance, Operations and others;
• Actively manage relationships with stakeholders to strengthen partnerships and collaboration;
• Influencing stakeholders for active engagement in continually improving the CDD process, such as supporting AML enhancements to streamline requirements and processes;
• Ensuring appropriate escalation when issues and risks are identified;
• Represent the department on internal projects/committees for own specialized area as necessary
• Leading remediation efforts that continually arise as a result of business growth strategy (i.e. acquisitions), testing / audit / examination, and regulatory change;
• Assisting with developing and leading strategy to remain competitive against peers in the CDD space (i.e. reduction in onboarding SLA time);
• Foster a culture based on the TD Shared Commitments to gain team support and cohesion

Role Requirements

• Extensive knowledge and understanding of the overall client onboarding process with corporate and institutional clients
• Expertise in using software tools, Windows applications, data analysis and reporting techniques
• Strong product knowledge on capital markets and investment banking
• Experience working in Sales & Trading or a client-facing role
• Understanding of auditing principles, monitoring & testing techniques, and disciplines for assessing internal controls
• Extensive understanding of risk management and regulatory environments
• Strong knowledge of Money Laundering (ML), Terrorist Financing (TF) and sanctions risk, typologies and legislation in Canada and U.S. is an asset
• Broad knowledge of AML / account systems and processes applicable to TDS an asset
• Minimum of 5+ years with progressively more responsibility in relevant field
• Experience on onboarding process for products under Canadian Investment Regulatory Organization (CIRO) is an asset
• University degree+
• Industry certifications and relevant professional designations (e.g. CAMS) is an asset

• Exceptional communication skills
• Excellent relationship management, negotiation and decision-making skills
• Strong organizational skills to prioritize various tasks and projects
• Management of stakeholder and partner relationships
• Strong leadership experience in a fast-paced environment
• Strong analytical and problem-solving skills
• People management experience an asset
• Ability to effectively and professionally evaluate and assess the work of others

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. Learn more

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 (Quebec only):

Sans Objet