CDD & AML Operations Analyst II

TD Securities Inc.; Toronto; On-site; CAD 60,000 - 84,000; Full time

Job summary

TD Securities in Toronto, Ontario, is seeking an AML and regulatory compliance professional to join Global Business Services & Operations within the Client Due Diligence team.

You will perform AML reviews, research client information, liaise with partners, and help with audits and process improvements to minimize risk. This role requires knowledge of PCMLTFA, FATCA, CIRO, CRS, strong organizational skills, and Excel; Bloomberg/Impact experience is a plus.

Qualifications

• 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.

Responsibilities

• 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 elevate 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.

Skills

AML knowledge

Regulatory compliance

Communication skills

Excel proficiency

Bloomberg/Impact experience

UI Path

Alteryx

VBA

Tools

Bloomberg/Impact

UI Path

Alteryx

VBA

Job description

TD Securities in Toronto, Ontario, is seeking an AML and regulatory compliance professional to join Global Business Services & Operations within the Client Due Diligence team.

You will perform AML reviews, research client information, liaise with partners, and help with audits and process improvements to minimize risk. This role requires knowledge of PCMLTFA, FATCA, CIRO, CRS, strong organizational skills, and Excel; Bloomberg/Impact experience is a plus.