Senior Analyst, Client Due Diligence

Work Location:

Lake Mary, Florida, United States of America

Hours:

40

Line of Business:

TD Securities

Pay Detail:

$55,000 - $65,000 USD

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:

Preferred Qualifications:

Global Operations and Business Services employees bring diverse talents and experiences to provide value to TD Securities. Our team offers a dynamic and inclusive environment where individuals can grow, innovate, and succeed, while delivering infrastructure services to support trading, investment, and corporate banking functions.

Team Overview:

The Client Due Diligence (CDD) team conducts due diligence on TD Securities clients during onboarding, periodic reviews, and on an ongoing basis. The team ensures compliance with Global AML requirements, mitigating operational, regulatory, and reputational risks.

Job Description/Accountabilities (Senior Analyst Level 8):

§ Lead departmental projects: Drive process improvements, system enhancements, and risk mitigation initiatives for CDD operations.

§ Oversee the team's workload: Ensure requests are managed in a timely manner and escalate issues as needed to maintain compliance and efficiency.

§ Manage work queues for onboarding and ensure adherence to strict Service Level Agreements (SLAs) while maintaining quality standards.

§ Assist with onboarding requests: Continue to work on client onboarding, periodic reviews, and ad-hoc requests, ensuring compliance with KYC, FATCA, and AML requirements.

§ Mentor and train new team members, providing guidance on AML requirements and promoting adherence to regulatory standards.

§ Handle complex cases: Perform secondary reviews of AML analysis, ensuring thoroughness, accuracy, and proper risk assessment.

§ Manage escalations: Address complex or high-priority cases by working with business partners and ensuring the team adheres to SLAs.

§ Lead audit and regulatory exam preparation: Coordinate efforts for audits by collecting, analyzing, and presenting required data.

§ Support strategic initiatives: Participate in the rollout and development of new processes, systems, and operational enhancements across the department.

§ Identify areas of concern: Work closely with the manager to identify and address areas of concern, whether from a KYC perspective or any other challenges the department is facing.

§ Drive adherence to AML standards: Ensure all team members understand and comply with AML regulations, including KYC and FACTA

§ Participate in the rollout and adoption of new operational and regulatory initiatives within the team.

§ Handle competing priorities: Be willing and able to juggle multiple tasks with competing deadlines and priorities while ensuring a high level of performance.

Job Requirements (Senior Analyst Level 8):

§ Advanced knowledge of AML regulations FATCA and broader AML trends.

§ Leadership skills: Ability to lead and mentor a team, guide junior members, and manage escalations effectively.

§ Project management experience: Capable of managing or contributing to projects focused on process improvement, system enhancements, or regulatory compliance.

§ Strong problem-solving and strategic thinking: Ability to handle complex tasks with competing priorities while ensuring consistent delivery.

§ Proficiency with data analysis tools, including Excel, UI Path, Alteryx, is preferred.

§ Exceptional communication skills: able to influence team members and business partners

The TDS Operations Analyst III will act as a cross functional process analyst, conduct research, analysis and reporting on a range of operational and service issues.  Executes on critical projects and strategic special initiatives within a defined functional area that may require broader partnership across TDS and/or other TD enterprise functions. Enhances management decision making on policies, processes, products and services based on insights generated from analytics and reporting to advance the operating model / processes and elevate service quality. Facilitates the im