Vice President - AML, TD Securities

TD Description

TD Securities provides a wide range of capital market products and services to corporate, government and institutional clients. The firm works with clients around the world, focusing selectively and strategically on the key financial centers: Toronto, Montreal, Calgary, Vancouver, New York, London, Singapore and Tokyo. www.td.com

Job Description

The Vice President - AML Compliance ("VP of AML") will provide AML compliance support for all aspects of the TD Prime Services business, Prime Brokerage, which include but are not limited to client on-boarding, enhanced due diligence review, stock deposit documentation review and transaction monitoring. The role supports a high profile regulation and requires interaction with members of the global AML group, corporate compliance, operations and the business to ensure compliance with Enterprise AML mandates and regulatory requirements.

Job Requirements

Primary duties include for Prime Brokerage customers:

• Provide guidance to operations and the business relating to client on-boarding issues;
• Review customers' enhanced due diligence reports and escalate any concerns to the Head of AML;
• Conduct on-going enhanced due diligence reviews on a timely basis;
• Conduct in-depth review of stocks requested for deposits and provide recommendation accordingly; and
• Monitor customer transactions for unusual activities using both manual and automated solutions.

Other duties include:
• Participate in special projects, including assisting with adherence to enterprise-wide global initiatives including global policies and governance; and
• Assist with regulatory and audit requests.

Qualifications

• 4 years College/University Degree
• Minimum of 8 years BSA/AML experience in the Prime Brokerage space
• Strong working knowledge of Bank Secrecy, Anti-money Laundering, USA Patriot Act and OFAC regulations
• Strong regulatory research background and verbal and writing skills
• Experience with automated surveillance system Actimize a plus

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 in and serve, and creating an environment where every employee has the opportunity to reach their potential.

If you are a candidate with a disability and need an accommodation to complete the application process, email the TD Bank US Workplace Accommodations Program at USWAPTDO@td.com . Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.

EOE/Minorities/Females/Veterans/Individuals with Disabilities/Sexual Orientation/Gender Identity.