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:
As a top 10 North American bank, TD aims to stand out from its peers by having a differentiated brand. Anchored in our proven business model and rooted in a desire to give our customers, communities, and colleagues the confidence to thrive in a changing world. The TD Framework embodies our culture and guides our behavior as we execute on our business strategy of being a premier Canadian retail bank, a top U.S. retail bank, and a leading Wholesale business aligned with our retail franchise.
Department Overview
Global Business Services & Operations is at the core of TD Securities. We are a dynamic, multi-faceted division that partners with all parts of the Dealer, including Sales & Trading to provide banking, securities, and asset management services to clients globally. Global Business Services & Operations recruits highly motivated individuals who can help the Dealer and our clients facilitate business. Professionals in Global Business Services & Operations come from a variety of academic and professional backgrounds.
The successful candidate will be part of the Client Due Diligence team within Global Business Services & Operations. The Client Due Diligence team is committed to ensuring services provided across the Bank and to its clients are delivered in a professional manner, that risk is minimized, and the client has a positive experience. The candidate is expected to think creatively, improve the daily process, and take responsibility and ownership for this to happen.
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The Group Manager I, Client Due Diligence (CDD) provides strategic leadership and oversight of the end-to-end CDD lifecycle across TD Securities’ Capital Markets platform. This includes client onboarding, periodic reviews, trigger events, and risk re-assessments across broker-dealer and institutional client segments.
The role operates within the First Line of Defense (1LOD) and is accountable for maintaining a strong AML/KYC control environment, ensuring compliance with Canadian and U.S. regulatory requirements, and partnering closely with FCRM, Compliance, Legal, and Business stakeholders.
Key Accountabilities:
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.
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 and serve. If you require 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.
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
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