Wealth Operations Officer Iii

2 months ago

Toronto, Canada TD Bank Full time

**Work Location**:
Toronto, Ontario, Canada

**Hours**:
37.5

**Line of Business**:
TD Wealth

**Pay Details**:
$45,900 - $64,800 CAD

Provides a broad range of operational support and performs general to specialized transactions and/or other processing activities for own Operations function. Communicates with partners in a professional manner, demonstrating clear understanding of clients / partners needs and TD products and processes.

**KEY ACCOUNTABILITIES**

**CUSTOMER**
- Execute transactions accurately, on time and in line with established guidelines / procedures while adhering to formal or informal Service Level Agreement(s) (SLAs)
- Refer or escalate processing or operational issues as needed based on a solid understanding of the issue, connecting with the appropriate function / partner to facilitate resolution and ensure that service quality is maintained
- Identify opportunities to improve service delivery and support process improvement initiatives
- Support partners with incoming transactions, validating information as needed to perform adjustments within authority levels
- Develop and maintain working relationships with customers, partners and vendors including responding to questions and / or concerns in an effective and timely manner

**SHAREHOLDER**
- Complete assigned workload to meet SLA requirements for service and productivity
- Consistently exercise discretion in managing correspondence, information and all matters of confidentiality; escalate issues where appropriate
- Support the timely and accurate completion of business processes including completing and recording transactions for either the organization or clients
- Actively review internal processes / activities and provide ideas for process improvement
- Investigate and escalate non-standard or high-risk activities as appropriate
- Adhere to enterprise frameworks and methodologies that relate to operations activities for own area (e.g. Anti-Money Laundering, Business Continuity Management)
- Be knowledgeable of and comply with Bank Code of Conduct

**EMPLOYEE / TEAM**
- Participate fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation and teamwork
- Ensure the timely communication of issues / points of interest
- Support the team by actively building operations knowledge, think critically about processes and opportunities for improvement, share ideas and transfer knowledge within the team and business unit
- Participate in personal performance management and development activities, including cross training within own team
- Keep others informed and up-to-date about the status / progress of projects and / or all relevant or useful information related to day-to-day activities
- Contribute to a fair, positive and equitable environment that supports an inclusive and diverse workforce
- Act as a brand ambassador for the function and the bank, both internally and / or externally

**BREADTH & DEPTH**
- Works within moderately defined guidelines and/or is responsible for activities involving multiple steps, systems, and jurisdictions
- Transactions and activities require working knowledge across a function specific product shelf, processes or systems and where transactions could be characterized by moderate to high volatility
- Uses judgement and understanding of process/policy risk when recommending exceptions outside general practices or guidelines
- Transactions are characterized by moderate risk/financial impact
- Low to moderate decision-making authority within defined parameters
- Identifies and resolves issues within authority on processes or transactions or escalates internally as required
- Generally interacts with internal partners and/or external clients for functions performed May provide process / policy guidance to others (e.g. within team, internal partners)
- Focus of work spans from daily, weekly to monthly activities
- Requires solid knowledge of the business unit and operational functions for the business area supported as well as regulatory issues/requirements for jurisdictions supported
- Generally reports to a Team Manager

**EXPERIENCE & EDUCATION**
- Undergraduate degree/ college diploma preferred and/or
- 1+ years relevant experience

**Who We Are**:
TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our

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