Wealth Operations Officer III

Description

*Preferred Candidate Identified*

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

Understand internal and industry regulations, remain informed of emerging issues and apply appropriate due diligence in adherence with operating policies / procedures

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 strong, diversified investment bank. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.

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.

Additional Information:
We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

Colleague Development
If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.
 

Training & Onboarding
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Interview Process 
We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

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

Language Requirement (Quebec only):