Business Management Specialist, Wealth Advice Business Controls – Private Investment Advice and Financial Planning

Work Location:

Toronto, Ontario, Canada

Hours:

37.5

Line of Business:

Business Management, Strategy & Support

Pay Details:

$96,900 - $136,800 CAD

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 candidate's 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:

Reporting to the Senior Manager, Wealth Advice Business Controls, the Business Management Specialist will support the continued evolution of our business governance practices across Wealth Advice and in particular Private Investment Advice and Financial Planning.

Key accountabilities for the Business Management Specialist, Wealth Advice Business Controls include, but are not limited to:

• Support the delivery of new business initiatives, partnering with 1B and Control Partners to represent Private Wealth Management and Financial Planning through the initiative life cycle

• Work with management / control function partners to assess risks, develop and implement proactive strategies, tactics and programs to effectively manage regulatory and governance issues

• Assess / identify key issues and escalate to appropriate levels and relevant stakeholders where required

• Primary partner to 1B and Control Partners to support regulatory inquiries, regulatory reviews and internal investigations

• Lead the business control mapping against applicable Laws, Rules and Regulations to ensure all requirements are covered

• Support the business on regulatory change – assessing the requirements, supporting the 1A design, ensuring new controls are put in place with sustainment

• Support the business on issue management – assessing the requirements, supporting remediation, ensuring controls are up to date and sustainable

• Support the Business in monitoring, escalating, and reporting on risk profile to ensure field activities are within TD's Risk Appetite and policies

• Collaborate with relevant stakeholders to address risks and issues, from identification/reporting through remediation, including completion of exception request templates and/or presentation at the applicable risk forum(s)

• Together with G&C and Wealth leaders, promote a strong risk management culture

Job Requirements:

• Strong business acumen and analytical capabilities – ability to consolidate information into clear, concise analysis in support of business decisions

• Relationship builder with a proven ability to partner, build confidence and influence multiple stakeholders at all levels across the organization

• Ability to thrive in a fast-paced environment

• Strong regulatory and compliance management skills

• Self-starter that is effective at managing multiple priorities and tasks at the same time

• Flexibility to quickly adapt to changing initiatives or requirements and ability to work collaboratively across functions

• Knowledge of the Wealth Advice businesses preferred

• Project management expertise an asset

• Strong communicator, with excellent oral, written and presentation skills

• Organizational awareness & the ability to balance the viewpoints of various stakeholders

• Education and Accreditation

  • Undergraduate degree

  • 10 years of relevant industry and risk and/or compliance experience

Who We Are:

TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we strive to make every interaction, product, and experience remarkably human and refreshingly simple for over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities.

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:
We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re 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 you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll 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.

If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.  

We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.

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

Interview Process 
We’ll 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 you’d 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):

Sans Objet