Wealth Advice Solutions and Enablement is accountable for Business Transformation & Enablement, Risk Management support and Control Partner engagement, as well as Investment Platforms, Technology, Operations and Digital Enablement for PIA, PIC and FP.

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 (PIA, PIC and FP) and ensuring that appropriate oversight is in place. The role will focus on ensuring that our PIC, PIA and FP client-facing colleagues are supported with up-to-date, accurate and helpful policies and procedures; that appropriate oversight policies are in place to aid in managing business risks, improve client experiences and strengthen overall business audit readiness; advocate for distinct business-specific controls and procedures where appropriate; and finding synergies between our Wealth Advice channel processes, addressing issues with a common approach and voice.

This dynamic role will have the following accountabilities:

• 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.

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 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.

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.

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. 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 (Quebec only):
Sans Objet