Work Location:
Toronto, Ontario, Canada
Hours:
37.5
Line of Business:
TD Securities
Pay Details:
$81,600 - $115,200 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:
Business Unit Overview
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 Associate, KYC Governance & Data is a key member of the Client Due Diligence (CDD) team under Global Operations & Business Services division and is responsible for supporting KYC governance, oversight, data quality, and control-related activities. In this role, the Group Manager will work closely with the Senior Manager and AVP to support strategic initiatives, regulatory commitments, data remediation efforts, control enhancements, and stakeholder engagement activities across TD Securities. The successful candidate will help ensure operational KYC processes, procedures, and controls remain effective and aligned with regulatory and enterprise requirements.
If you are someone who is highly analytical, enjoys solving complex problems, developing process improvements, and collaborating with stakeholders and partners across multiple functions, we would love to hear from you.
- Supporting the Senior Manager and AVP in the execution of strategic initiatives, governance activities, and department deliverables
- Acting as a primary point of contact for KYC inquiries from control and oversight partners, including First Line Business Management, Financial Crime Risk Management (FCRM), Compliance, Audit, and Testing teams
- Coordinating and facilitating responses to audit, testing, regulatory examination, and quality assurance requests
- Supporting the development, maintenance, and enhancement of KYC governance reporting, management information, metrics, and risk dashboards
- Conducting data analysis and identifying trends, root causes, and opportunities for process improvement and risk mitigation
- Leading or supporting data remediation initiatives related to AML/KYC records, client information, and regulatory reporting requirements
- Developing, maintaining, and enhancing departmental procedures, process documentation, job aids, and governance standards
- Designing and delivering training materials and knowledge-sharing sessions to support operational readiness and process consistency
- Working collaboratively with stakeholders to interpret policy requirements and provide guidance on operational execution
- Supporting regulatory change initiatives and ensuring procedural documentation reflects evolving requirements
- Assessing control gaps, documenting issues, and supporting remediation and corrective action plans
- Monitoring adherence to established standards, procedures, and control frameworks
- Supporting the preparation of materials for senior management, governance committees, audits, and regulatory engagements
- Representing the department on projects, working groups, and control-related initiatives as required
- Identifying opportunities to streamline processes, improve data quality, and strengthen the overall control environment
- Supporting enterprise-wide initiatives relating to AML, KYC, client data management, governance, and risk management
Role Requirements
- Strong understanding of AML/KYC regulatory requirements and control frameworks applicable to capital markets and wholesale banking
- Expertise in data analysis, reporting, trend analysis, and management information development
- Advanced proficiency with business intelligence platforms (e.g. Microsoft Power BI) and other data visualization tools, as well as Microsoft Office applications, including Excel, PowerPoint, etc.
- Experience investigating data quality issues and supporting remediation initiatives
- Knowledge of audit, monitoring, testing, and regulatory examination practices
- Experience interacting with regulatory, compliance, audit, testing, or risk management partners
- Ability to develop and maintain procedures, standards, governance documentation, and training materials
- Strong understanding of risk management principles and operational controls
- Ability to effectively analyze complex issues and recommend practical solutions
- Strong organizational and project coordination skills with the ability to manage multiple priorities simultaneously
- Exceptional written and verbal communication skills
- Strong stakeholder management skills with the ability to build effective working relationships across business and support functions
- Ability to influence outcomes and drive initiatives through collaboration and partnership
- Experience preparing executive-level presentations, committee materials, and management reporting
- Strong attention to detail and commitment to data accuracy and quality
- Minimum of 3–5 years of experience in governance, AML/KYC operations, risk management, compliance, audit, data management, or a related field
- University degree or equivalent experience
- Industry certifications and relevant professional designations (e.g., CAMS, CRCM) are an asset
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 strive to make every interaction, product and experience remarkably human and refreshingly simple. 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.
Together, we are reimagining what banking can be for our clients, colleagues and communities.
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.
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
