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Manager, Wealth Advice Policy, Oversight & Procedures

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TD Bank

Oct 12

  • Job
    Full-time
    Senior Level
  • Business, Operations & Strategy
    Banking & Finance
  • Toronto
  • Quick Apply

AI generated summary

  • You need a business degree, CSC/CFA preferred, policy/process experience, strong communication skills, knowledge in wealth management, and proficiency in MS Office. French is an asset.
  • You will manage policy updates, collaborate with stakeholders, advocate for clarity, ensure compliance, enhance procedures, and maintain relationships across business units.

Requirements

  • 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.
  • 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 Private Investment Advice, Private Investment Counsel and Financial Planning 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.

Responsibilities

  • Work with stakeholders in Business Controls, Compliance, Governance and Control and Risk 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 Wealth Advice businesses 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 PIC and PIA 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 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 programs are always audit-ready.
  • Work closely with Operations partners in annual events, client mailings and ad hoc initiatives (example annual fees, RSP season, tax season etc)
  • Identify opportunities to align and/or improve PIA, PIC and FP policies and procedures that will ensure 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 his/her 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 a central point of contact for escalations from the front office if regular escalation channels fail to remedy.
  • Assist with preparing and delivering presentations for Senior Leadership and Branch Managers 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 partner relationships with various internal business units including; front office, operations, compliance and other wealth business units as required.

FAQs

What is the work location for this position?

The work location for this position is Canada.

What are the working hours for this job?

The working hours for this job are 37.5 hours per week.

What is the department associated with this role?

This role is part of the Wealth Advice Solutions and Enablement department within TD Wealth Private Wealth Management.

What are the key accountabilities of the Manager, Wealth Advice Policy, Oversight & Procedures?

Key accountabilities include developing and maintaining policies, working with stakeholders for compliance, leading implementation of procedures, ensuring audit readiness, and collaborating on ad hoc projects.

Is a specific educational background required for this position?

Yes, a university or postgraduate degree in business or a related discipline is required.

Are there any preferred professional designations for this role?

Yes, CSC and/or CFA designations are preferred, and other securities licenses or designations would be an asset.

What skills are necessary for a successful candidate?

Necessary skills include strong communication abilities, knowledge of wealth management policies, analytical and problem-solving skills, and proficiency with MS Office suite.

Is prior experience working directly with advisors required for this position?

No, prior experience working directly with advisors is preferred but not required.

Will training and onboarding be provided for this role?

Yes, training and onboarding sessions will be provided to ensure you have everything needed to succeed in your new role.

What does TD's Total Rewards package include?

TD's Total Rewards package includes a base salary, variable compensation, health and well-being benefits, retirement programs, paid time off, career development opportunities, and reward programs.

Is a language requirement applicable to this role?

There is no specific language requirement mentioned; however, French language skills are considered an asset.

What is the process for preparing for presentations to senior leadership?

The role involves assisting with preparing and delivering presentations for Senior Leadership and Branch Managers on policy and procedure updates and initiatives.

How does TD support employee development?

TD supports employee development through regular career conversations, access to training programs, and a variety of mentoring opportunities.

Is there an emphasis on teamwork in this role?

Yes, the role requires the ability to work both as part of a team and independently to complete complex tasks.

Will there be opportunities for career advancement within TD?

Yes, there are various career paths within TD, and the organization is committed to helping employees identify opportunities that support their goals.

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TD Bank

Finance
Industry
10,001+
Employees

Mission & Purpose

Headquartered in Toronto, Canada, the Toronto-Dominion Bank and its subsidiaries are collectively known as TD Bank Group (TD). TD had CDN$1.9 trillion in assets on July 31, 2023. TD also ranks among the world’s leading online financial services firms, with more than 16 million active online and mobile customers. TD offers a full range of financial products and services to over 27.5 million customers worldwide through four key business lines: - Canadian Personal and Commercial Banking including TD Canada Trust, Business Banking, and MBNA - U.S. Retail including TD Bank, America’s Most Convenient Bank, TD Auto Finance (U.S.), TD Wealth (U.S.) and TD’s investment in Schwab - Wealth Management & Insurance including TD Wealth (Canada), TD Direct Investing, and TD Insurance - Wholesale Banking including TD Securities and TD Cowen