Associate, PWM Business Controls - Policy, Oversight & Procedures

Work Location: Toronto, Ontario, Canada

Hours: 37.5

Line of Business: Business Management, Strategy & Support

Pay Details: $69,700 - $98,400 CAD

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  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.

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.

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…