Associate Manager, Wealth Advice Policy Oversight & Procedures

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Hours:

Line of Business:

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.

Job Description:

Department Overview:

TD Wealth Private Wealth Management provides a comprehensive range of wealth management services to high-net-worth individuals families and organizations with wide-ranging often-complex needs. Based on our commitment to discovering and achieving what truly matters to each client TD Wealth Private Wealth Management leverages a distinctive discovery process and integrated team-based approach to build a wealth strategy that reflects each clients unique needs and is based on TDs principles of transparency and trust.

As part of the Wealth Advice Business Controls group the Policy Oversight & Procedures team works to enhance field support and reduce business risk through an emphasis on creating and maintaining policy oversight and procedural resources that are clear accurate up-to-date and audit ready and which enable our Wealth Advice (PIA and FP) client facing colleagues to execute their roles with efficiency and confidence to deliver a best-in-class client experience.

Job Description:

Reporting to the Senior Manager Policy Oversight & Procedures the Associate Manager will perform a key role in developing implementing and maintaining policies standards and procedures within Wealth Advice with a primary focus on ensuring that our Financial Planning (FP) client-facing colleagues are supported with up-to-date accurate and helpful policies and procedures. The successful candidate will also be responsible for ensuring that appropriate oversight policies are in place to aid in managing business risks and strengthening overall business audit readiness; advocate for distinct business-specific controls and procedures where appropriate; and provide FP subject matter expertise in identifying synergies between Wealth Advice channel procedures to help improve client experiences and address issues with a common approach and voice.

This dynamic role will have the following accountabilities:

• Work with business operations risk and control partners to ensure policies and procedures are up-to-date and complete address all relevant factors and have appropriate monitoring and oversight.

• Provide partners with business context and advocate for the business to minimize negative experiences resulting from unclear processes or additional/newly imposed regulatory requirements.

• Lead the development and implementation of new or enhanced policies oversight and procedures in collaboration with other business partners and work with Organizational Change Management and PWM Communications to develop communication strategies and effectively position the delivery of policy and procedural change.

• Ensure the inventory of procedures across FP are captured and current with appropriate lifecycles in for reviewing and updating on an appropriate basis.

• Ensure that policies and procedures are placed on the intranet in a style and format which is both easily accessible to the field and consistent with enterprise standards.

• Ensure that internal FP business policies procedures and controls are documented appropriately and head office records are kept up-to-date.

• Ensure risks fall within the TD Bank risk appetite and policies & procedures are audit-ready.

• Where appropriate assist in coordinating and/or executing FP related client mailings recurring activities and ad hoc initiatives.

• Identify opportunities to align and/or improve FP policies and procedures that will enable better client and employee experience.

• Work independently or in partnership with other members of the Wealth Advice National Office team on select ad hoc projects as required.

• Apply knowledge subject matter expertise and judgement and develop solid partner relationships to make recommendations for decisions that will advance business goals minimize risk and/or resolve operational and audit issues and escalations.

• Act as a central point of contact for escalations from the front office if regular escalation channels fail to remedy.

• Assist with preparing and delivering presentations to Senior Leadership and Front Office Teams on policy and procedure updates and initiatives.

• Participate where appropriate in MCS / CSA counsel sub-committee meetings Branch leadership calls etc.

• Develop and maintain strong business Partner relationships with various internal business units including; front office operations compliance and other wealth business units as required.

Education/Accreditations:

• University or post graduate degree in business or related discipline required.

• CSC and/or CFA designation preferred.

• Other securities licenses registrations or designations would be an asset.

• French language skills an asset.

Other Qualifications/Skills/Experience:

The successful candidate must have:

• Process and policy experience with a strong track record of implementing change within an organization.

• Sound knowledge and experience in wealth management operational policies & procedures compliance and business management in the financial services sector is preferred.

• Excellent verbal written communication skills

• A sound knowledge of financial markets and investment products

• Experience working with risk management or governance would be an asset.

• Prior experience working directly with advisors would be an asset however not required.

• Advanced knowledge of the TD Wealth Financial Planning and Private Investment Advice businesses is an asset.

• Strong analytical/ problem-solving skills and an ability to provide clear and concise direction in a positive and effective manner.

• The ability to work both as part of a team and independently to complete complex tasks.

• Ability to work independently think critically and make decisions.

• Confident in presenting to senior levels of management as well as advisor and branch manager communities.

• Strong communication interpersonal and organizational skills.

• Enthusiastic and focused self-starter who can work with minimal supervision to strict deadlines and is able to prioritize multitask and manage various initiatives simultaneously.

• Proficient with MS Office suite of products.

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 a base salary variable compensation and several other key plans such as health and well-being benefits savings and retirement programs paid time off banking benefits and discounts career development and reward and recognition programs. 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.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations requirements.

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
Your accessibility is important to us. Please let us know if youd like accommodations (including accessible meeting rooms captioning for virtual interviews etc.) to help us remove barriers so that you can participate throughout the interview process.

We look forward to hearing from you!

Language Requirement (Quebec only):