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Wealth Operations Officer Iii

4 months ago

Toronto, Canada TD Bank Full time

415175BR

Wealth Management

Toronto, ON

July 26, 2023

Hours

37.5

Workplace Model

Hybrid

Pay Details

Department Overview

The Reconciliations Team is a critical control function within TD Wealth Operations responsible for accounts that cover TD Wealth in Canada and the US. The Team is accountable for the overall governance of accounts to mitigate financial exposure and risk and ensure superior client experiences. This involves oversight of accounts from multiple systems and across a range of Wealth products to ensure that breaks are being actively acquired, owned, investigated, and resolved in a timely manner. In addition, the team works to investigate, improve, and optimize existing reconciliation processes and pain points within the entire Reconciliations control space.

**Reconciliation function covers**:
Data ingestion into recon process, including cleansing and transformation to create standardized reconcilable values
Reconciliation - data comparison
Research - Identifying exception owners and reasons
The breaks identified are made available to the owners responsible for Remediation
Follow up and escalation of unresolved reconciliation discrepancies and aged outstanding items
to ensure timely resolution and minimize potential risks

Job Details

As a Reconciliation Officer in Wealth Operations, your primary responsibility is to ensure accurate and timely reconciliation of financial transactions and records related to wealth management operations. You will play a crucial role in identifying and resolving discrepancies, verifying data integrity, and supporting the overall operational efficiency of wealth management operations.

**Key Responsibilities**:
1. Reconciliation: Perform daily, weekly, and monthly reconciliations of financial transactions, including cash, securities, and other investment products, between various internal systems and external counterparties.
2. Data Verification: Validate and analyze transactional data to ensure accuracy, consistency, and adherence to regulatory and compliance requirements.
3. Discrepancy Resolution: Investigate and resolve discrepancies or variances identified during the reconciliation process, collaborating with internal teams, custodians, and other stakeholders as necessary.
4. Exception Handling: Identify and escalate any exceptions, errors, or operational issues to the appropriate teams or management for further investigation and resolution.
5. Reporting: Prepare and generate accurate reconciliation reports and management information, highlighting key findings, trends, and potential risks.
6. Process Improvement: Proactively identify areas for process improvement and automation to enhance operational efficiency, reduce risks, and streamline reconciliation procedures.
7. Documentation and Compliance: Maintain comprehensive documentation of reconciliation processes, procedures, and controls, ensuring compliance with regulatory guidelines and internal policies.
8. Collaboration: Work closely with various teams, to facilitate seamless workflow and enhance overall operational effectiveness.
9. Communication: Provide process partners with clear, concise and timely communications, to ensure that all issues are well understood and appropriately actioned to foster speedy resolution of outstanding breaks
10. Risk Management: Identify and assess potential risks associated with reconciliation activities, implement appropriate controls, and contribute to risk mitigation strategies.
11. Professional Development: Stay updated with industry trends, best practices, and regulatory changes related to wealth management operations and reconciliation processes.

Job Requirements
- Bachelor’s degree in finance, accounting, or a related field.
- Prior experience in wealth management operations, investment banking, or financial services, with a focus on reconciliation activities.
- Strong understanding of financial instruments, investment products, and market conventions.

- Strong analytical skills applied towards sorting through large amounts of data to identify and resolve account outages, perform complex investigations and root cause analysis
- Excellent analytical skills with a keen eye for detail and a systematic approach to problem-solving.
- Ability to work under pressure and meet deadlines without compromising accuracy or quality.
- Effective communication skills to collaborate with cross-functional teams and convey complex information clearly.
- Solid understanding of risk management principles and the ability to identify and mitigate operational risks.
- Strong organizational skills to manage multiple tasks simultaneously and prioritize effectively.

Additional Information

LI

Company Overview

**Our Values**
At TD we’re guided by our purpose is to enrich the lives of our customers, communities and colleagues, and share a set of values that shape our culture and guide our behavior. In exchange for how our colleagues show up to help TD succeed, we are committe