Wealth Operations Officer III

TD Bank Group
Toronto, Canada
Sep 07, 2019
Sep 14, 2019
Job Function
Wealth Management
Industry Sector
Finance - General
Employment Type
Full Time
Company Overview

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Department Overview

The Legislated Products team comprises of the Registered Plans, Private Trust and Segregated Funds teams. It is focused on the day to day administration of Registered and Legislated products including but not limited to RSP, RIF, RESP, RDSP, TFSA, Segregated Funds and for TD Waterhouse Private Trust: asset set up, asset maintenance, fees and court passing documents. This is a key area in the support of the registered product framework to identify, interpret and implement legislative and regulatory change as it applies to all products under administration to ensure full compliance and sustainability of Registered Status with all levels of government

Job Description

• The successful candidate must have a passion for problem solving, analyzing and exceptional customer service skills with a Can Do attitude.

• The successful candidate must be an enthusiastic individual who demonstrates the ability to work in a high volume, fast paced, deadline oriented environment

• Knowledgeable of CRA regulations on Registered Products/Pension Acts-Provincial and Federal.

• Adhere to RIF ticketing policy - Updating tickets in a timely basis (according to Policy) and ensure closure within SLA to reduce risk of escalation and/or duplication of requests being submitted.

• Ensure compliance with our SLA (Service Level Agreements) with all business units

• Timely and accurate processing of assigned functions

• Work closely with partners and other Operations teams

• Ensure complete understanding and exercising good judgment when processing transactions

• Identify opportunities to improve service delivery and support process improvement initiatives

• Ability to work effectively within a team environment

• Contribute to achievement of commitments made under Service Level Agreements

• Maintaining a courteous, efficient and professional manner in all partner and team interactions

• Follow internal escalation protocol as appropriate

• Work well independently and as part of a team; a team player who adapts well to ongoing change

• Possess excellent organizational skills in order to successfully manage volumes and process work efficiently

• Excellent communication skills, both verbal and written are essential

• Be flexible in changing work priorities and assist Team Manager with RIF Team projects as assigned from time to time.

• Contribute toward attaining a positive audit and ciLEI.

• Manage and prioritize day to day workload to ensure that all assigned tasks are completed.

• Support the team by continuously developing knowledge in own area

• Prioritize and manage own workload to meet SLA requirements for service and productivity

• Consistently exercise discretion in managing correspondence, information and all matters of confidentiality; escalate issues where appropriate

• Be knowledgeable of practices and procedures within own area of responsibility and keep abreast of emerging trends for own functional area

• Monitor service, productivity and assess efficiency levels within own function and implement continuous process / performance improvements where opportunities exists

• Acquire and apply expertise in the discipline, provide guidance, assistance and direction to others

• Be detail oriented, with a strong focus on accuracy and minimizing risk to the department and TD.

• Adhere to internal policies/procedures and applicable regulatory guidelines

• Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts

• Ensure adherence to all HR policies, other Bank, and Industry Codes of Conduct


Internal Practices & Processes
  • Complete your daily work in an accurate, timely and efficient matter at all time.
  • Ensure your daily work kept for audit purposes is accessible, organized and filed according to TD Wealth record policy.
  • Ensure necessary procedures, due diligence, quality controls and quality verifications are followed to support the accuracy of all transactions at all times
  • Contribute to the timely and accurate completion of departments administration work in addition to your daily functions
  • Ensure issues are handled appropriately by performing quality investigations, escalating issues timely when necessary
  • Understand and apply department operating policies and procedures at all times
  • Working knowledge of managed accounts, locked in accounts, including product knowledge of account types and their functionality
  • Commitment to client service excellence
  • Detail oriented and high organized ability to work in a fast-paced, dynamic environment

Additional Information

Job Requirements Position requires an individual who possesses the following skills:

• The candidate should possess strong problem solving and investigation skills. The candidate will have to demonstrate an ability to work within tight timelines and pressure.

• Contribute to the overall productivity of the team by maximizing individual efficiency, productivity, availability and flexibility.

• Strong communication, organizational, analytical, communication (verbal and written), and time management skills.

• Proficiency with Microsoft Office software (Word, Excel, Outlook, Power Point, Access) and back office systems (IBM's ISM/OSS, MVest, CIF, TRAC/ticketing).

• An enthusiastic team player with the ability to work independently while maintaining a positive and productive attitude at all times.

• Have a strong knowledge and use of spreadsheet systems with the ability to extract and manipulate data.

• Able to keep resilient under pressure.

• High accuracy, attention to detail

• Flexibility and capability to take on various tasks

• University degree, CSC, CFA

• Ability to analyze and understand Registered Plans transactions and reconciliation process.

• Demonstrated problem solving and time management skills

• Advanced excel knowledge (formulas required, pivot tables)




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.

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