Head of Wealth Portfolio Management and Capital Markets (US)

Work Location:

Hours:

Pay Details:

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidates skills and experience job-related knowledge geographic location and other specific business and organizational needs.

As a candidate you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Line of Business:

Job Description:

The Head of Wealth Portfolio Management & Capital Markets is a key leader within the U.S. Wealth business responsible for formulating strategy that is required to build out the U.S. Investment product suite and its ongoing product management and development. This role leads the development implementation and management of strategies plans policies disclosures pricing client solutions and tools related to all U.S. Wealth Investment product offerings.

Depth & Scope:

• Provides people management leadership by hiring the best talent setting goals developing staff managing employee performance and compensation decisions promoting teamwork and handling any/all disciplinary actions as required

• Leads a specialized team within US Wealth that connect clients and advisors with institutional grade investment solutions market access and execution services

• Sits between traditional Retail Wealth Management and institutional trading and sales

• Provides direct access to trading desks for equities fixed income options structured products and ETFs

• Executes trades that are larger or more complex that what standard advisory platforms handle

• Offers best execution on large block trades or illiquid securities

• Assists in the distribution of structured notes derivatives custom fixed income portfolios for sophisticated clients

• Tailers investment vehicles to fit tax yield or risk needs

• Works with advisors investment strategists and portfolio managers to align execution with portfolio construction and planning

• Collaborates with the tax and estate planning teams for transaction specific analysis (e.g. low basis stock strategies)

• Sources and executes bond trades including municipal corporate treasury and preferred

• Provides inventory access from external dealers not just in house.

• Offers new issue access IPOs secondary offerings and new bond issues

• Prioritizes allocations for wealth clients in high demand issues.

• Leads centralized investment teams to ensure regional delivery of investment management support for the field as well as services of accounts held with centralized team

• Provides support for complex client situations including but not limited to concentrated positions tax efficient trading and transition support

• Provides Trading support for TD Access ESOP/GSR and Business Resiliency

• Oversees and ensures all regulatory requirements are met including pre- and post-acceptance review Reg 9 and Administrative reviews

• Coordinates execution of retirement framework including RMD tracking with Field emergency attention to QYA account deaths and IRA account opening process

• Manages assigned resources for optimal efficiency productivity and client service

• Proactively identifies monitors and manages risk issues escalating as necessary to minimize risk of loss/error

• Serves as regional resource and support on legal administrative procedural and risk issues

Education & Experience:

• Bachelors degree and progressive work experience

• 10 years of related experience

• 7 years of extensive wealth management controls processes enhancements investment platform and wealth products experience required

• Series 7 24 66 (or equivalent) FINRA Registrations

• Comprehensive knowledge of financial management retirement solutions and investments required

• Financial and professional designations required

• Management experience preferred

• Ability to negotiate manage relationships and influence across Business Lines

• Ability to multi-task and adapt to rapidly changing business environment

• In-depth understanding of ERISA laws required

• Systematic integrated thinker and critical/analytical thinker

• Possesses enterprise business acumen has business and Wealth Management credibility

• Strong execution skills and action oriented - makes the tough people and business decisions

• Strong interpersonal and relationship management skills required

• Excellent communication skills written verbal and presentation

• Demonstrated ability to negotiate and apply skills to exercise influence over others decisions without express authority and influence mass change management

• Experience in leading project management and delivering on time and within budget

• Proven experience in product pricing financial statements and ensuring budget targets are met or exceeded

• Exceptional problem solving and analytical skills (issue identification problem structuring process redesign analysis development of actional recommendations) and conceptual thinking abilities

• Strong understanding of and experience in implementing large scale and complex programs/projects; proven ability to work effectively with teams and individuals

• Strong understanding of and experience with industry-leading investment platform vendors (i.e. Envestnet Pershing etc.)

• Advanced facilitation and influence management skills

• Proven ability to develop good business relationships with internal and external partners

• Able to work in an unstructured and fast paced environment

OCC:

• This position is with a FINRA member broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered position under FINRA.

• Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e) including: the Firms obligation to investigate the good character business reputation qualifications and experience of an applicant for registration before applying to register the applicant with FINRA and filing the applicants Form U4 with the CRD and before representing on the applicants Form U4 that it has conducted this investigation and verified the accuracy and completeness of the information contained in the applicants Form U4; and the Firms obligation to verify the accuracy and completeness of the information contained on the applicants Form U4 no later than 30 calendar days after the Form U4 is filed with FINRA.

• Satisfactory results on a criminal background check credit report check civil litigation search and regulatory agency or self-regulatory organization enforcement action search and statements/certification from job applicant regarding administrative civil and/or criminal findings by any government agency/authority or self-regulatory organization are required by federal law for this position.

Physical Requirements:

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%

• Domestic Travel Occasional

• International Travel Occasional

• 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.

Who We Are:
TD is one of the worlds leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day we deliver legendary customer experiences to over 27 million households and businesses in Canada the United States and around the world. More than 95000 TD colleagues bring their skills talent and creativity to the Bank those we serve and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers communities and colleagues.

TD is deeply committed to being a leader in customer experience that is why we believe that all colleagues no matter where they work are customer facing. As we build our business and deliver on our strategy we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether youve got years of banking experience or are just starting your career in financial services we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs were here to support you towards your goals. As an organization we keep growing and so will you.

Our Total Rewards Package

Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g. eligibility for cash and/or equity incentive awards generally through participation in an incentive plan) and several other key plans such as health and well-being benefits savings and retirement programs paid time off (including Vacation PTO Flex PTO and Holiday PTO) banking benefits and discounts career development and reward and recognition. Learn more

Additional Information:
Were delighted that youre considering building a career with TD. Through regular development conversations training programs and a competitive benefits plan were committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development
If youre interested in a specific career path or are looking to build certain skills we want to help you succeed. Youll have regular career development and performance conversations with your manager as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience or you want to coach and inspire your colleagues there are many different career paths within our organization at TD and were committed to helping you identify opportunities that support your goals.

Training & Onboarding
We will provide training and onboarding sessions to ensure that youve got everything you need to succeed in your new role.

Interview Process
Well reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation

TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race color religion sex sexual orientation gender identity national origin age disability status as a protected veteran or any other characteristic protected under applicable federal state or local law.

If you are an applicant with a disability and need accommodations to complete the application process please email 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 applicant process.