Job Description

TD Description

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Department Overview

The TD Wealth Compliance Department provides compliance advisory and second line oversight of TD Wealth businesses, including: TD Waterhouse Canada (an IIROC registrant that includes Private Investment Advice, Financial Planning, and Direct Investing), Private Investment Counsel (an OSC registrant), TD Asset Management (an OSC registrant), Private Trust, and Private Banking. Key functions within the unit include the Chief Compliance Officers and their teams for each business line, Surveillance, Regulatory Investigations & Client Complaint Resolution, marketing reviews, regulatory change management and registrations. A multi-disciplinary team of compliance professionals supports these activities. Given the range of businesses supported, and the breadth of applicable regulations, the day-to-day work of the group is both interesting and complex, requiring compliance and wealth management subject matter expertise

Job Requirements

• Working knowledge of Microsoft Office, including Word, Excel as well as Teams
• Excellent knowledge and proficiency in PowerPoint
• Exceptional organization skills and document management skills
• Able to work in a fast paced environment
• Proactive and flexible to work in a changing environment
• Excellent written and verbal communication skills

Hours

37.5

• Act as the central point for collecting information for, and preparing, a variety of reports in support of the efficient and effective delivery of the Wealth Compliance Program, in regard to regulatory developments and issues including materials of a confidential or sensitive nature relating to potential regulatory actions or involving individual conduct matters, and work with regulatory tracking lead to ensure appropriate changes are captured.
• Coordinate a wide variety of reporting and meeting demands in support of the efficient and effective delivery of the Wealth Compliance program, from a variety of sources, often with competing priorities and short notice, requiring an understanding of the complexity of the various matters to effectively perform the function.
• Coordinate informal and formal team events / team building and assist in developing and coordinating agendas for all team and senior leadership meetings.
• Support Wealth Compliance in coordination of various reports and challenge sessions to support annual Volcker Attestation program in support of CEO Opinion.
• Manage all expense claims for team members and provide oversight in regard to the management of the cost centers for which the Executive is responsible, including processing of all invoices and reconciliation of invoices to cost centres\' expenses.
• Review Monthly Expense transactions reports. Attach hard copies of paid invoices and send to Finance.
• Efficiently manage and promptly respond to all incoming enquiries/requests for information independently or re-direct to the appropriate person/area. Must have high level understanding of Wealth\'s seven lines of business, the regulatory environment, and outstanding issues to effectively perform this function.
• Proactively schedule and organize meetings in support of the Wealth Compliance program and the discharge of regulatory accountabilities of Wealth Chief Compliance Officers, including preparation and co-ordination by booking the facility, pre-mail, arranging required equipment, refreshments, etc., as required.
• Consistently exercise discretion in managing correspondence, information, including sensitive information, and all matters of confidentiality, escalate where appropriate.
• Provide document management leadership in support of the Wealth Compliance program, and develop and carry out an efficient documentation and filing system
• Provide a high level of administrative support ensuring the optimal level of customer service and professionalism.

Operational Effectiveness

• Understand basic securities law concepts to fulfil reporting and personal trading roles.
• Understand cost centre management principles to ensure auditable standards are met.
• Ensure the optimal level of customer service and professionalism is provided
• Provide accurate, organized and efficient administrative support; collect and track data, research information, sort and distribute mail, balance and process expense reports, schedule and organize meetings, manage calendars, create and maintain files, and perform other executive administrative assignments as required
• Prioritize and manage own workflow to ensure quality and efficiency (ie. meet deadlines; be flexible in adjusting to changing work priorities)
• Use software programs and other tools or equipment with ease and efficiency, and provide documents/ information that effectively support the needs of the team
• Efficiently manage expectations/concerns through strong communication skills, both verbal and written
• Take initiative to identify and recommend improvements in own job function, research and/or investigate issues requiring resolution in order to execute on assigned tasks

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.

Business Line

Corporate

Job Category - Primary

Anti-Money Laundering / Compliance & Regulatory Relations

Job Category(s)

Administrative / Clerical / Support

Job Family

Administrative / Exec Assistant

Time Type

Full Time

Employment Type

Regular

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