Gaurav Jethani
Operations Officer @TD
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WORK HISTORY
Operations Officer @TD
AML Case Remediation: Maintained 100% SLA and full compliance across all remediation cases by adhering to authentication protocols, documentation standards, and AML operating procedures.Financial Crime Investigations: Strengthened 80 AML investigations per month by capturing complete transaction narratives — source of funds, purpose of payments, counterparties, and frequency improving GAML risk assessment accuracy and reducing the follow up time by 45% with zero escalations returned and an accuracy rate above 90%.Case Triage & Risk Analysis: Conducted proactive case triage by reviewing RFI triggers, risk indicators, and missing information prior to outreach, reducing repeat contact and accelerating case resolution time, resulting in exceeding all team performance benchmarks by 20%.Regulatory Documentation & Data Integrity: Ensured full data integrity by accurately documenting interactions, uploading evidence, and tracking case progress to closure in line with FINTRAC-compliant standards, with an average case turnaround time between 3-16 days, consistently exceeding SLA timelines.High-Risk Case Escalations: Escalated suspicious, unusual, or high-risk cases with precise documentation to Compliance and GAML teams, enabling timely intervention and mitigating financial crime exposure, reducing rework and repeat outreach.KYC Quality Assurance: Selected by leadership during a critical audit period to shadow new officers and validate KYC completeness and accuracy, eliminating documentation gaps and strengthening AML compliance, passing internal audit by eliminating critical error from 40%.Audit Readiness & Operational Controls: Identified and reported operational deficiencies (missing authentication, incomplete notes, incorrect tracker entries) to Team Leads, supporting continuous improvement and audit-ready operational standards.
EDUCATION
Vancouver Island University
Master of Business Administration - MBA, Finance, General
SKILLS
ABOUT GAURAV JETHANI
Experienced Due Diligence and Compliance Analyst with a strong background in AML, KYC, and risk research within the financial services sector. With over 2 years of experience conducting Enhanced Due Diligence (EDD) on high-risk entities, I have developed expertise in leveraging advanced research tools and methodologies to gather, analyze, and present actionable insights on individuals and organizations. Adept at writing concise, clear, and thorough narrative reports for decision-makers, ensuring adherence to regulatory frameworks and internal compliance standards. Skilled in assessing risks related to financial transactions, conducting sanctions and analyzing customer profiles to support informed business decisions. Advanced proficiency in Excel and Microsoft Office and competencies in business management skills, problem-solving, communication skills, effective time management skills, and ability to perform well under pressure.
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