Job Description

FCRM KYC Quality Assurance, Senior Analyst

The "FCRM KYC Quality Assurance, Senior Analyst" is a member of the Financial Crime Risk Management (FCRM) Quality Assurance (QA) Department under TD Bank's Second Line of Defense (2LoD) FCRM Function.

The FCRM KYC QA Senior Analyst is responsible for the execution of the QA Program's KYC Workstream, which includes the following:

• Perform monthly QA review of High, Medium, and Low Risk Customer KYC Files
• Perform secondary review of other KYC QA Team Members or First Line of Defense (1LoD) QA Functions
• Assist with KYC QA Validation and Reporting

The Senior Financial Crime Risk Analyst role contributes to the development and maintenance of TD's AML/ATF/Sanctions/ABAC programs, including frameworks, methodologies, policies, standards, procedures, awareness and specialized training, monitoring, management reporting and/or escalation of issues. This role conducts periodic and event driven reviews of customers, including targeted reviews to assess risks. Additionally, this role supports management in delivery of initiatives related to risk assessment, internal/external exam support, etc.

Depth & Scope:

• Works independently as the senior analyst / subject matter expert and may coach and educate others
• Oversees and/or independently performs tasks from end-to-end
• Applies expert knowledge of business operations, products, services, methods and operating standards to drive unit or team performance
• Executes on more complex and/or non-standard requests
• Researches and investigates a range of operational / reporting / process issues
• Recommends and implements solutions within own area of responsibility
• May need to coordinate / integrate work with other areas as needed
• Provides advanced analysis and/or specialized reporting to support business partners, functional areas or centres of expertise
• Requires advanced technical / business / function knowledge for discipline supported
• High level of complexity in operational / reporting / process and/or analysis function requiring medium to longer term focus
• Represents the group as the lead or subject matter expert on projects / initiatives and/or at meetings across the organization

Education & Experience:

• Undergraduate degree or equivalent work experience
• 5+ years experience

Preferred Skills:

• 2 years experience working in a challenge (QA/Testing) or advisory/oversight function with direct exposure to Customer Risk/ Know Your Customer (KYC) Processes.
• Skilled knowledge and familiarity with KYC (CIP, CDD, EDD) Regulatory requirements

Physical Requirements:

• Domestic Travel Occasional
• International Travel Never
• Performing sedentary work Continuous
• Performing multiple tasks Continuous
• Operating standard office equipment - Continuous
• Responding quickly to sounds Occasional
• Sitting Continuous
• Standing Occasional
• Walking Occasional
• Moving safely in confined spaces Occasional
• Lifting/Carrying (under 25 lbs.) Occasional
• Lifting/Carrying (over 25 lbs.) Never
• Squatting Occasional
• Bending Occasional
• Kneeling Never
• Crawling Never
• Climbing Never
• Reaching overhead Never
• Reaching forward Occasional
• Pushing Never
• Pulling Never
• Twisting Never
• Concentrating for long periods of time Continuous
• Applying common sense to deal with problems involving standardized situations Continuous
• Reading, writing and comprehending instructions Continuous
• Adding, subtracting, multiplying and dividing Continuous

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.

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