Work Location:
Canada
Hours:
37.5
Line of Business:
Enterprise Enabling Functions
Pay Details:
We’re committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role.
Job Description:
Department Overview :
The Wealth Compliance department works pro-actively with the Canadian Wealth businesses and various other departments in TD who provide support to these businesses to ensure regulatory compliance and to protect the interests of the firm, its employees and clients, while supporting sales and productivity objectives.
Job Description :
Knowledge Management
- Act as a central point for collecting information for, and preparing, a variety of reports in support of the efficient and effective delivery of the Wealth Compliance Program, in regard to regulatory developments and issues including materials of a confidential or sensitive nature, and work with regulatory tracking lead to ensure appropriate changes are captured.
- Coordinate a wide variety of reporting and meeting demands in support of the efficient and effective delivery of the Wealth Compliance program, from a variety of sources, often with competing priorities and short notice, requiring an understanding of the complexity of the various matters to effectively perform the function.
- Support Wealth Compliance in coordination of various reports and challenge sessions.
- Efficiently manage and promptly respond to all incoming enquiries/requests for information independently or re-direct to the appropriate person/area. Must have high level understanding of Wealth's seven lines of business, the regulatory environment, and outstanding issues to effectively perform this function.
- Consistently exercise discretion in managing correspondence, information, including sensitive information, and all matters of confidentiality, escalate where appropriate.
- Provide document management leadership in support of the Wealth Compliance program, develop and carry out an efficient documentation, support policy and procedures development and filing system .
Other duties
- Manage all expense claims for Wealth Compliance senior leadership team, including processing of all invoices and reconciliation of invoices to cost centres' expenses.
- Review Monthly Expense transactions reports. Attach hard/soft copies of paid invoices and send to Finance.
- Proactively schedule and organize meetings in support of the Wealth Compliance program and the discharge of regulatory accountabilities of Wealth Chief Compliance Officers, including preparation and co-ordination by booking the facility, pre-mail, arranging required equipment, refreshments, etc., as required.
Operational Effectiveness
- Understand basic securities law concepts to fulfill reporting and personal trading roles.
- Understand cost centre management principles to ensure auditable standards are met.
- Ensure the optimal level of customer service and professionalism is provided.
- Provide accurate, organized and efficient administrative support; collect and track data, research information, sort and distribute mail, balance and process expense reports, schedule and organize meetings, manage calendars, create and maintain files, and perform other executive administrative assignments as required.
- Prioritize and manage own workflow to ensure quality and efficiency (ie. meet deadlines; be flexible in adjusting to changing work priorities)
- Use software programs and other tools or equipment with ease and efficiency, and provide documents/ information that effectively support the needs of the team.
- Efficiently manage expectations/concerns through strong communication skills, both verbal and written.
- Take initiative to identify and recommend improvements in own job function, research and/or investigate issues requiring resolution in order to execute on assigned tasks.
Job Requirements :
- Exceptional knowledge of Microsoft Office Suite
- Excellent organization skills and document management skills
- Able to work in a fast-paced environment
- Proactive and flexible to work in a time sensitive environment
- Excellent written and verbal communication skills
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 deliver legendary customer experiences to 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 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 you’ve 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, we’re 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:
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.
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. 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 we’re committed to helping you identify opportunities that support your goals.
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:
N/A.