Work Location:
Toronto, Ontario, Canada
Hours:
37.5
Line of Business:
TD Securities
Pay Details:
$81,600 - $115,200 CAD
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:
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 minimized, 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.
The Group Manager I, Client Due Diligence (CDD) provides strategic leadership and oversight of the end-to-end CDD lifecycle across TD Securities' Capital Markets platform. This includes client onboarding, periodic reviews, trigger events, and risk re-assessments across broker-dealer and institutional client segments.
The role operates within the First Line of Defense (1LOD) and is accountable for maintaining a strong AML/KYC control environment, ensuring compliance with Canadian and U.S. regulatory requirements, and partnering closely with FCRM, Compliance, Legal, and Business stakeholders.
Key Accountabilities:
Strategic Leadership & Governance
- Lead the execution of the CDD strategy aligned with enterprise AML and regulatory priorities.
- Ensure adherence to PCMLTFA, FINTRAC guidance, U.S. AML/BSA requirements (as applicable), and broker-dealer regulatory expectations.
- Own regulatory exam readiness, audit engagements, and issue remediation plans related to CDD controls.
Risk Oversight & Regulatory Compliance
- Maintain oversight of client risk rating methodology and escalation frameworks.
- Review and challenge high-risk client onboarding (e.g., MSBs, FI clients, complex ownership structures).
- Ensure robust identification and verification of beneficial ownership, control persons, PEPs, and sanctions screening outcomes.
- Provide formal responses to FCRM challenges and Internal Audit findings.
Operational Management & Control Effectiveness
- Oversee workflow allocation, SLA adherence, and quality control frameworks.
- Drive process enhancements, automation initiatives, and system improvements.
- Ensure documentation standards meet regulatory and audit expectations.
Stakeholder Management
- Serve as senior escalation point for Capital Markets stakeholders (Global Markets, Investment Banking, Corporate Banking).
- Balance risk management with client experience and business enablement.
- Partner with FCRM Advisory, Compliance, Legal, Operations, and Technology teams.
Qualifications & Experience
- 7+ years of AML/KYC/Financial Crime experience within Capital Markets or broker-dealer environments.
- Strong knowledge of Canadian and U.S. AML regulatory frameworks.
- Experience liaising with audit and testing teams.
- ACAMS/CAMS or equivalent certification preferred.
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 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.
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:
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.
If you're passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.
We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.
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
