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Pay Details:

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:

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.

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):