Group Manager I, Client Due Diligence

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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:

Client Due Diligence Oversight & Risk Management

• Provide senior‑level expertise and oversight across the end‑to‑end Client Due Diligence (CDD) lifecycle, including client onboarding, periodic reviews, trigger events, and risk re‑assessments within the Capital Markets environment.
• Review, challenge, and provide decision support on complex, high‑risk, or non‑standard client cases, including those involving complex ownership structures or elevated risk profiles.
• Ensure consistent application of client risk rating methodologies, escalation frameworks, and documentation standards in alignment with AML/KYC and regulatory requirements.

Regulatory Compliance & Control Effectiveness

• Operate within the First Line of Defense (1LOD), ensuring CDD processes and controls meet Canadian and U.S. regulatory expectations.
• Support regulatory examinations, audits, and testing activities, including providing information, responding to findings, and contributing to remediation actions.

Operational Excellence & Process Improvement

• Leverage data, reporting, and analytical insights to identify control gaps, inefficiencies, and opportunities for process improvement across the CDD operating model.
• Drive continuous improvement initiatives, including process optimization, automation, and technology enablement, to enhance efficiency, control effectiveness, and client service outcomes.

Stakeholder & Vendor Engagement

• Establish and maintain effective working relationships with front‑office partners and internal stakeholders across Capital Markets, Compliance, Legal, Technology, Audit, and Risk.
• Serve as a senior escalation point for CDD‑related issues, providing clear guidance and risk‑based recommendations.
• Engage with third‑party vendors and external service providers supporting CDD activities, including participation in due diligence, ongoing oversight, issue management, and coordination with internal partners.

Reporting, Technology & Digital Enablement

• Produce and contribute to clear, concise reporting and presentations for management and stakeholders on CDD performance, risk themes, and improvement initiative
• Support the adoption of data, automation, and digital tools to strengthen the CDD control environment and operating effectiveness.

Job Requirements

• Undergraduate degree/ college diploma
• 7+ years relevant AML/KYC, financial crime, or Client Due Diligence experience, preferably within Capital Markets or broker‑dealer environments
• Strong understanding of Capital Markets operational environments, including front‑office interaction and back‑office processes.
• Experience engaging with third‑party vendors and external service providers, including supporting due diligence, ongoing oversight, issue management, and coordination with internal partners (e.g., AML Oversight, Compliance, Legal, Technology) to ensure services align with regulatory and operational expectations.
• Ability to interpret data and analytical results and apply insights to drive process improvement initiatives and operational efficiencies.
• Strong proficiency in Outlook and Excel, including effective use of Microsoft Copilot to enhance productivity, analysis, and communication.
• Working knowledge of programming tools, such as Alteryx, Python and UiPath is a definite asset.

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):