Operations Analyst, Client Due Diligence

Work Location:

Hours:

Line of Business:

Pay Details:

We’re committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role.

Job Description:

Duties and Accountabilities

• Perform onboarding of new clients for Asia Pacific Regions, including ad hoc client outreach within the stipulated deadlines
• Gather and collect all required KYC, Compliance or Regulatory documentation via internal or public searches, as well as through Client or Business Outreach
• Has a strong understanding of the client onboarding end to end process including the new global regulatory framework, credit, legal, AML/KYC, FATCA, CRS, MIFID and the role of various stakeholders involved
• Working with sales and trading desk to grow long term relationships with buy side clients as they organically grow with TD
• Expediting the ability to trade whilst ensuring all required stakeholders are engaged and risks minimized
• Maintain client status updates current in the database to track and monitor workflow
• Handle client issues proactively and in a timely manner
• Perform ad-hoc name screening for requests received from regulators or enforcement agencies
• Lead and conduct Business Acceptance Test for KYC system upgrades and patch releases
• Actively participate in developing, testing and implementing new or enhanced processes and other process improvement initiatives
• Refer or escalate processing or operational issues as needed based on a solid understanding of the issue, connecting with the appropriate function/partner to facilitate resolution and ensure that service quality is maintained
• Contribute to business objectives for operational excellence -- identify, suggest and actively participate in improving standards, policies, procedures and solutions
• Assist to implement new products, new regulatory requirements and updating of procedure in accordance to regulatory requirements
• Provide guidance to Junior team members and independently handle 1st level escalation from them
• Ensure knowledge of AML regulations and compliance policies are always current and applied on a regular basis

Attributes:

• Diploma/Degree holder
• Minimum 3 years experience in KYC/CDD, preferably in Wholesale Banking
• Well versed with the KYC requirements as suggested by major Asia regulators (e.g. MAS & HKMA)
• Ability to pay high attention to details
• Ability to communicate effectively in both oral and written form
• Ability to work successfully as a member of a team and independently
• Ability to analyze, research, organize and prioritize work while meeting multiple deadlines
• Ability to handle confidential information with discretion
• Skill in using computer applications including MS Office, namely Outlook, Excel, Powerpoint
• Experience in developing solutions using Python, Alteryx, Power Platform, VBA is a plus
• Ability to hold conversational Korean/Japanese language is a plus
• Self-motivated and willingness to learn

Who We Are

TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.

TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you’ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we’re here to support you towards your goals. As an organization, we keep growing – and so will you.

Our Total Rewards Package
Our Total Rewards package reflects the investment we make in our colleagues to help them, and their families achieve their well-being goals. Total Rewards at TD includes a base salary and several other key plans such as health and well-being benefits, including medical coverage, paid time off, career development, and reward and recognition programs.

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.
 
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. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.
 

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 

If you require an 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.