Associate, PWM Business Controls - Policy, Oversight & Procedures

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TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description:

TD PWM & FP BUSINESS CONTROLS - POLICY, OVERSIGHT & PROCEDURES TEAM OVERVIEW

The PWM & FP Business Controls - Policy, Oversight & Procedures Team brings together expertise and capabilities focused on delivering leadership and field and risk management support on policies and procedures across the Private Wealth Management and Financial Planning channels. The team plays a key role in developing, implementing, and maintaining policies, standards, and procedures for our PWM & FP client facing colleagues to help ensure they have access to clear, current and practical business resources which enable them to serve their clients confidently and effectively. The team maintains key governance and information-management tools, supports critical centralized business processes, monitors deliverables and identifies gaps, and helps support remediation and time-sensitive initiatives affecting the field. Through strong partnership, analytical insight and a continuous-improvement mindset, the team helps strengthen operational effectiveness, business controls and audit readiness while enhancing the employee and client experience. To deliver on this mandate, we are looking for innovative, client-focused professionals who demonstrate sound judgement, strong collaboration and a commitment to continuous improvement.

JOB DESCRIPTION

Reporting to the Senior Manager, PWM & FP Business Controls Policy, Oversight & Procedures, the Associate supports the effective delivery of key Policy, Oversight and Procedures activities for the Private Investment Advice (PIA) and Financial Planning (FP) businesses.

The role helps maintain clear, current and accessible PIA and FP policy and procedure business resources; enhance policy and procedure related intranet and SharePoint resources leveraged by our PIA and FP client facing colleagues; coordinates team workflows and deliverables; identifies team trends, gaps and priorities; prepares quarterly reports to support team planning, prioritization and Executive updates; supports the accuracy and currency of the PIA & FP Policy & Procedure inventory; assists with updates to policies and procedures in response to field and partner feedback or project implementations; and administers the POP team intake to ensure review cycles and deliverables are visible and tracked through completion.

In addition, the Associate oversees and executes key run-the-bank centralized business processes and supports time sensitive business initiatives affecting the PIA and FP fields. The role works closely with business, intranet and control function partners to improve processes; advocate for distinct business-specific policies, controls and procedures where appropriate; manage operational and business risks, and support audit readiness; and deliver a consistent experience across PWM & FP by identifying synergies between PIA and FP processes, addressing issues with a common approach and voice, and providing support with the implementation of policy and procedure documents;

JOB ACCOUNTABILITIES

This dynamic role will have the following accountabilities:

• Maintain and enhance the PWM & FP Policy and Procedures Inventory database, including documenting ownership, approvals, review cycles, status, and coordinating required follow-up activities.
• Administer and oversee the Policy, Oversight and Procedures team intake to support work flows and team planning, ensuring deliverables and work items are accurately recorded and tracked through completion.
• Work with the TD Intranet Team to ensure PIA, PIC and FP policies and procedures are up to date, well organized and easy to locate by client facing colleagues in Wealth Advice.
• Oversee and execute key run-the-bank centralized business processes supporting the PIA and FP fields, including recurring business activities, annual events, client mailings and other deliverables.
• Identify team trends, delivery risks, outstanding gaps and opportunities for improvement and provide ongoing analytical insights and status updates to support team decision-making.
• Assist with preparing and delivering presentations for Business Leadership and Executives on policy and procedure updates and initiatives.
• Review and maintain the PWM & FP Business Controls Policy, Oversight and Procedures SharePoint site and shared team inbox, ensuring information is organized, requests are appropriately triaged, and required actions are assigned or escalated in a timely manner.
• Support and, where appropriate, lead business initiative, remediation, burst and time-sensitive activities affecting the PIA and FP fields, including coordinating stakeholders, tracking actions and supporting the development, timely implementation and ongoing maintenance of policies, procedures and business resources.
• Partner with PWM & FP Business Controls colleagues, field stakeholders, Operations, Compliance, Governance and Control, Risk, Communications and other internal partners to deliver coordinated business outcomes.
• Support the implementation and communication of policy & procedure changes ensuring materials are clear, practical, field-ready and aligned with applicable standards.
• Apply sound judgement, analytical thinking and subject-matter knowledge to recommend solutions that advance business objectives, mitigate risk, and address operational, control or audit and regulatory related issues.
• Identify opportunities to align and/or improve PIA and FP policies and procedures to strengthen the client and employee experience.
• Build and maintain strong relationships with internal partners and work independently or collaboratively on projects and ad hoc priorities, as required.

QUALIFICATIONS / SKILLS / EXPERIENCE

• Strong organizational and workflow-management skills, with demonstrated ability to track multiple deliverables, dependencies and action items through completion.
• Strong analytical and problem-solving skills, including the ability to interpret operational information, identify trends and gaps, and translate findings into clear, actionable insights.
• High attention to detail and a demonstrated ability to maintain accurate inventories, trackers, shared resources and business records.
• Ability to prioritize competing deliverables and respond effectively to time-sensitive remediation, burst and business-as-usual activities.
• Proficiency with Microsoft 365 applications, particularly Excel, Word, SharePoint, Outlook and PowerPoint; experience using Excel to analyze and report on data is an asset.
• Experience maintaining intranet or SharePoint content and organizing information for end-user accessibility is an asset.
• Experience supporting centralized processes, policy and procedure management, operational change or project activities is an asset.
• Excellent written and verbal communication skills, with the ability to prepare clear reporting, status updates, presentations and field-facing materials.
• Confident in presenting to senior levels of management as well as client facing advisor and financial planning colleagues.
• Proven ability to build productive relationships and coordinate deliverables across business, operational and control partners.
• Knowledge of Wealth Advice businesses, investment products, field operations or the Canadian wealth-management environment is an asset.
• Enthusiastic, self-motivated and creative. Independent thinker with a positive results-driven attitude who takes initiative to capitalize on opportunities or minimize problems.
• Ability to think critically and make decisions.
• Ability to work both as part of a team and independently to complete complex tasks.
• Experience implementing change within an organization an asset.

EDUCATION / ACCREDITATIONS

• University or post graduate degree, in business or related discipline required.
• Proficiency with Microsoft 365 applications, particularly Excel, Word, SharePoint, Outlook and PowerPoint.
• Wealth management, Canadian investment industry and Regulatory knowledge and courses would be an asset.

Who We Are:

TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we strive to make every interaction, product, and experience remarkably human and refreshingly simple for over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities.

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. Learn more

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.

If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.

We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.

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):