Kevin Doherty Email & Phone Number

Toronto, ON, CA

Toronto, Canada Area

• I led the Canadian Financial Intelligence Unit within the Global Anti-Money Laundering division of TD Bank Group.
• Accountable for delivery of the global (excluding the United States) FIU operational mandate in line with operational benchmarks, minimum regulatory expectations and prudent risk management.
• Led a team of over 300 Anti-Money Laundering professionals in the following program areas: Adjudication, Investigations, Quality Assurance, High Risk Program, Sanctions Operations, Demarketing, Reporting.
• In 2019-2020, successfully led the FIU through the most significant period of structural, people, process and technology change in its history at that time. Ultimately attaining and maintaining operational green.
• Collaborated with other AML executive leaders to deliver a FIU Maturity Project that included major process simplification and enhanced reporting for executive leadership and the Board.
• Proactive management of complex and multi-faceted stakeholder groups within Compliance, Risk Management and the lines of business.

Toronto, Canada

Key accountabilities: - Leading Analysis and AML Compliance teams in Canada, US and the UK as part of TD's Global Anti-Money Laundering (GAML) division;- Accountability for global TD Wealth and Insurance businesses, including oversight of ongoing monitoring, testing and risk assessments; - Developing and maintaining a solid framework for oversight and.

Leeds, United Kingdom

Key accountabilities: - Leading Analysis and Compliance teams in both Toronto and Leeds as part of TD's Global Anti-Money Laundering (GAML) division;- Accountability for TD Wealth international businesses, including oversight of ongoing monitoring, testing and risk assessments; - Developing and maintaining a solid framework for oversight and maintenance of.

Leeds, United Kingdom

Key responsibilities and achievements:- Ensuring TD Waterhouse UK Group had an effective financial crime prevention framework meeting minimum UK regulatory and TDBG expectations. Developed a Financial Crime Prevention function with an holistic approach to both anti-money laundering and fraud prevention;- FSA Approved (CF11) Money Laundering Reporting.

Leeds, United Kingdom

Key responsibilities and achievements included:- Creation of new internal audit function within TD Waterhouse, reporting independently into Audit Division in Toronto;- Making internal audit a visible and impactful third line of defence within the TD Waterhouse business; - Implementing a risk-based operational and project audit programme;- Project audit and.

Leeds, United Kingdom

Key responsibilities and achievements included:- Regulatory compliance (including anti-money laundering and data protection) accountability for two entities, TD Waterhouse and YorkSHARE Ltd;- Key contributor in two client account and system migrations;- Delivered effective onsite compliance function and risk-based compliance monitoring programme;- Key SFA.

Leeds, United Kingdom

Responsible for audits and advisory assignments to SFA, IMRO and PIA (now all under FSA umbrella) entities, including execution-only stockbrokers, advisory stockbrokers, unit trust management and administration companies, financial advisors.

Leeds, United Kingdom

Recruited as graduate by Kidsons Impey and qualified as a chartered accountant in 1997. Successfully undertook audit responsibilities in relation to small and medium-sized owner-managed businesses across the UK.