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TD Bank AML Compliance Officer III TDS in New York, New York


Job Title:

AML Compliance Officer III TDS

TD Description:

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 help clients meet their needs today and prepare for tomorrow. 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.

We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.

Auto req ID:



United States

Job Requirements:

The ideal candidate should have one-to-two years of AML experience with a FINRA-registered broker dealer. CAMS certification is a plus. Experience with Actimize is also a plus.


Bachelor degree is required.

Must be eligible for employment under regulatory standards applicable to the position.



Job Description:

The individual is required to demonstrate governance, control and risk management behaviors in alignment with TD policies and practices. Specific duties and responsibilities include the following:

• Assist with onboarding Enhanced Due Diligence for prospective prime brokerage (i.e., hedge fund) customers;

• Engage in AML/sanctions transaction monitoring via Actimize and other reports;

• Assist with reviewing low-priced security (i.e., penny stock) deposits and trading activity;

• Review AML processes and procedure documents on a periodic basis to ensure they remain current in light of any regulatory changes, updates, or other notable events;

• Provide AML support and guidance for the client services team, operations, and other teams within AML.

• Assist with ad-hoc reviews and other special projects and AML-specific initiatives as pertaining to the prime brokerage business.


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 in and serve, and creating an environment where every employee has the opportunity to reach their potential.

If you are a candidate with a disability and need an accommodation to complete the application process, email the TD Bank US Workplace Accommodations Program at . Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.

EOE/Minorities/Females/Veterans/Individuals with Disabilities/Sexual Orientation/Gender Identity.


New York


New York

Work Location:

125 Park Avenue TDS

Business Line:

TD Securities

Job Category - Primary:

Anti-Money Laundering / Compliance & Regulatory Relations

Job Category(s):

Anti-Money Laundering / Compliance & Regulatory Relations

State (Primary):

New York

City (Primary):

New York

Job Family:

Compliance Business Oversight

Time Type:

Full Time

Employment Type:


Pay Range:

$56,680 - $91,000 annually

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