Wealth Ops. Officer Iii
3 weeks ago
**TD Description**
Stay current and competitive. Carve out a career for yourself. Grow with us.
**Department Overview**
The Mutual Fund Settlements team acts as both Manufacturer (TD Mutual Funds) and Distributor (TD Wealth) in transacting and settling TD Mutual Funds and 3rd party mutual funds. This dynamic team manages high volume and complex mutual fund trading, facilitating order placement and settlement for our partners and clients.
Reporting to the Manager, Mutual Fund Settlements the operations Officer - Mutual Fund Settlements, takes ownership, provides day-to-day support ensure effective and efficient operations, delivery of services and solutions in accordance with established service levels, quality standards, compliance and regulatory guidelines.
Day-to-Day Management MF Operations Settlements and Trading Support team:
- Process various transactions accurately and in line with established guidelines as well as Service Level Agreement(s); provide process and policy guidance to others when required
- Knowledge of Fundserv, ISM, Prime OE, ISD400/ advanced
- Maintain high service level by providing optimal customer and partner service, resolving process or operational issues within discretion and escalate internally as required
- Ensure accuracy of prepared documents and reflect business intentions that is consistent with relevant rules and regulations
- Build positive working relationships with customers, partners and Fund companies by responding to their questions and concerns effectively
- Find opportunities to improve service delivery, processes and procedures
- Willingness to cross -train and learn more functions within the team
- Well versed with SIP/SWP, Multiples, Ticketing Application, NFUs, Drips and transfers / Roll Overs for MF settlements.
- Support the team during vacations and taking ownership of issues to get them resolved by participating actively and providing knowledge and ideas to make the task efficient
- Maintain positive work environment and help identify opportunities and provide management with analysis of key process drivers, production gaps, root cause analysis of outages and breaks where applicable
- The operations office will help the lead and manger to investigate, improve, and redesign existing processes and pain points within the Mutual Funds settlements funds and broker side teams.
- Identify opportunities to enhance operational processes and provide support during implementation and testing of new processes and/or technology
- Review and/or update procedures ensuring all functions and systems are well documented
- Drive continuous improvement of the current state MF Settlement model service level agreements (SLA) to enhance the client experience and operational efficiencies
- Act as a brand champion for Mutual Fund Operations and the bank, both internally and/or externally
**Job Requirements**
- Advanced knowledge and understanding of Wealth Operations
- Advanced knowledge and understanding of the Mutual Funds and Brokerage Environments
- Strong knowledge of ISM Book of Record, Prime base /SMS, Prime OE, and the interaction with Fundserv
- Ability to lead a team in managing complex day-to-day activities and managing escalations
- 5+ years of relevant experience combining Mutual Funds, Trading, Banking, and/or Customer Service
- Data Literacy, Intermediate -Advanced level excel,
- Canadian Securities Course (CSC) or IFIC Course an asset.
- Analytical skills along with Banking Operations and financial services experience.
**Additional Information**
- #LI-POST
**Inclusiveness**
At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live and serve. If you require an accommodation for the recruitment/interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.
**Job Family**
- Wealth Operations
**Job Category - Primary**
- Wealth Management
**Job Category(s)**
- Wealth Management
**Hours**
- 37.5
**Business Line**
- TD Wealth
**Time Type**
- Full Time
**Employment Type**
- Regular
**Country**
- Canada
**Province/State (Primary)**
- Ontario
**City (Primary)**
- Toronto
**Work Location**
- 77 Bloor Street West Corporate
**Job Expires**
- 16-Feb-2023
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