Description /Accountabilities: Verify a number of CDD requirements for clients at onboarding, period review and ad-hoc events to ensure compliance with Global AML standards and UK/ Ireland procedures, as applicable; Utilize various independent online sources to obtain requisite information to suffice the UK/Ireland CDD requirements; Understand the client risk assessment and be able to apply the appropriate level of due diligence to the client; Familiar the MiFID classification, FATCA/CRS form is a plus for this role; Achieve exceptional quality of AML analysis via information / documentation review and accurate data entry Work closely with the Sales and Trading desks and potentially interact directly with clients as required Conduct client outreach via both emails and phone calls Liaise with Regional counterparts to consolidate requirements to avoid multiple touchpoints during client outreach Liaise with internal stakeholders (e.g. Sales and Trading desks, Data Services teams, etc.) on queries/suspension of codes on trading and book of records systems Liaise with various business partners to provide prompt and accurate responses to inquiries regarding CDD requirements, obtain KYC information, and escalate, when necessary; Assist in the audit and regulatory exam processes by gathering data for internal auditors and other control areas, as required; Be actively engaged in identifying opportunities for process improvement and enhancing efficiencies.
Job Requirements Proven experience working in Customer Due Diligence (CDD) Solid understanding of the UK and Ireland AML/CDD requirements; Has a solid 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 A good level of attention to detail and checking skills Complete work within specifically defined parameters with guidance / direction from management, as necessary; Ability to adhere to strict deadlines and, where required, handle high volumes of work in a demanding environment; Ability to analyze, research, organize and prioritize work while meeting multiple deadlines Good team player as well as be able to work independently Self-motivated and goal-oriented with the ability to develop tactical solutions to project and or day-to-day problems; Strong communication skills both verbally and written; Proficient in Microsoft Office applications, including EXCEL, WORD and POWERPOINT Familiar with the Investment Banking operating environment 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.
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