Manager - Portfolio Management Oversight
3 weeks ago
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:
Wealth Shared Services Governance & Control (G&C) is responsible for managing the overall risk management and governance for TD Wealth. The Portfolio Management Oversight Team, which is part of the broader Governance & Control Team provides regulatory oversight for the TD Privately Managed Portfolios (PMP) Program and TD Private Investment Counsel. These programs are an ideal solution for high-net-worth clients who wish to delegate their day to day investment decisions to a qualified Portfolio Manager. Supervision of these accounts is a regulatory requirement.
Job Description / Accountabilities:
Working with the Senior Manager, Portfolio Management Oversight, the Supervising Portfolio Manager and other immediate team members, and internal partners, the successful candidate will focus on oversight of the TD Privately Managed Portfolios program and Private Investment Counsel program.
The primary responsibilities for this role include, but are not limited to:
Monthly Documentation oversight and Quarterly account oversight review of all households in the TD Privately Managed Portfolio Program and Private Investment Counsel program to ensure that each managed portfolio conforms to the clients Investment Policy Statement, program investment guidelines and regulatory obligations.
Coordinate resolution of any issues identified as a part of the monthly and quarterly oversight process and escalate issues where necessary.
Act as a relationship manager with TD PIA discretionary Portfolio Managers and Private Investment Counsel Portfolio Managers in coaching on various investment related and oversight matters.
Coordinate and participate in the quarterly Oversight review results to the Portfolio Management Review Committee (PMRC).
Attend quarterly Externally Managed Account Review Committee (EMARC) meetings and monthly Portfolio Advice and Investment Research/Product/Investment Management Review meetings to gain investment insights and document for PMP Oversight purposes.
Oversee the tracking process to ensure Investment Policy Statements are updated per Business policies.
Point of contact for internal auditors and facilitates responses to inquiries for external audits in coordination with the Senior Manager, Portfolio Management Oversight and the Supervising Portfolio Manager.
As a member of the broader Governance and Control team you will need to support various broader initiatives from time to time
Other Duties as assigned.
Key Interactions:
The following internal interactions constitute an integral part of this position:
Direct report to the Senior Manager, Portfolio Management Oversight along with high level interactions with TD Private Wealth Management Executive Team, Associate/ Portfolio Managers, Business Oversight Managers, Client Service Associates, Branch Managers, Regional Heads, Portfolio Oversight team members and internal partners including, Business Architecture, Practice Management, Wealth SS Products & Services New Accounts, Wealth Compliance the members of the Portfolio Management Review Committee. Accountable to the Senior Manager, Portfolio Management Oversight and AVP, Governance & Control
Qualifications / Skills / Experience:
Superior oral and written communication skills
Strong problem-solving and decision-making skills with ability to effectively communicate with senior managers and executives.
Strong Proficiency in MS Office Excel.
Demonstrated ability to build strong collaborative business relationships.
Well organized, and able to execute well in a multi-task environment
Very detailed conscious and very accurate
Progressive experience in the financial services industry.
Field experience dealing directly with clients, Investment Advisors and Portfolio Managers.
Specific Educational Requirements / Accreditations:
CFA Charter holder or working towards CFA charter or Chartered Investment Manager designation - CIM
Proficiencies to meet CIRO licensing requirements as a Designated Supervisor for Managed Accounts.
University degree required, in business or related field preferred.
Wealth / field experience dealing directly with clients, Investment Advisors or Portfolio Managers
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
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
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