Manager, Wealth Advice Policy, Oversight

4 weeks ago

Toronto, Canada TD Bank Full time

**Work Location**:
Canada

**Hours**:
37.5

**Line of Business**:
Business Management, Strategy & Support

**Pay Details**:
**Department Overview**:
**Part of the TD Bank Group, TD Wealth Private Wealth Management provides a comprehensive range of wealth management services to high-net-worth (investable assets of at least $750,000) individuals, families and organizations with wide-ranging often-complex needs. Based on our commitment to discovering and achieving what truly matters to each client, TD Wealth Private Wealth Management leverages a distinctive discovery process and an integrated, team-based approach to build a wealth strategy that reflects each client's unique needs and that is based on TD's principles of transparency and trust. As part of our commitment to One TD, our team members collaborate closely with each other to deliver both the full spectrum of TD Wealth Private Wealth Management services - from private banking services, and estate and trust planning, to philanthropy, business succession and tax planning - and the best of the Bank to our clients.**

**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.**:

- **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**:

- **Process and policy experience with a strong track reco

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