Toronto, Ontario, Canada
Provided regulatory expertise and council to TD Personal and Business Banking Teams as a control partner to mitigate the inherent AML risks associated with new clients onboarding and transaction reporting. Executed the review and approval of internal banking procedures and
Conducted quality assurance of client onboarding procedures and KYC documentation. Conducted the risk rating of prospective customers before account opening to comply with HSBC Global Standards and Canadian AML regulatory requirement
Conducted monitoring and investigation of stock transactions to identify any atypical activities and assessed the necessity of filing a Suspicious Transactions Report (STR) in accordance with the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA) and the guidelines of the Financial Transactions and Reports Analysis Centre of Canada (FINTRAC).