Business Management Specialist, Wealth Advice Business Controls – Private Investment Advice and Financial Planning

TD•Toronto, ON

5d•CA$96,900 - CA$136,800•Onsite

About The Position

Reporting to the Senior Manager, Wealth Advice Business Controls, the Business Management Specialist will support the continued evolution of our business governance practices across Wealth Advice and in particular Private Investment Advice and Financial Planning. Key accountabilities for the Business Management Specialist, Wealth Advice Business Controls include, but are not limited to: Support the delivery of new business initiatives, partnering with 1B and Control Partners to represent Private Wealth Management and Financial Planning through the initiative life cycle. Work with management / control function partners to assess risks, develop and implement proactive strategies, tactics and programs to effectively manage regulatory and governance issues. Assess / identify key issues and escalate to appropriate levels and relevant stakeholders where required. Primary partner to 1B and Control Partners to support regulatory inquiries, regulatory reviews and internal investigations. Lead the business control mapping against applicable Laws, Rules and Regulations to ensure all requirements are covered. Support the business on regulatory change – assessing the requirements, supporting the 1A design, ensuring new controls are put in place with sustainment. Support the business on issue management – assessing the requirements, supporting remediation, ensuring controls are up to date and sustainable. Support the Business in monitoring, escalating, and reporting on risk profile to ensure field activities are within TD's Risk Appetite and policies. Collaborate with relevant stakeholders to address risks and issues, from identification/reporting through remediation, including completion of exception request templates and/or presentation at the applicable risk forum(s). Together with G&C and Wealth leaders, promote a strong risk management culture.

Requirements

Strong business acumen and analytical capabilities – ability to consolidate information into clear, concise analysis in support of business decisions
Relationship builder with a proven ability to partner, build confidence and influence multiple stakeholders at all levels across the organization
Ability to thrive in a fast-paced environment
Strong regulatory and compliance management skills
Self-starter that is effective at managing multiple priorities and tasks at the same time
Flexibility to quickly adapt to changing initiatives or requirements and ability to work collaboratively across functions
Undergraduate degree
10 years of relevant industry and risk and/or compliance experience
Excellent oral, written and presentation skills

Nice To Haves

Knowledge of the Wealth Advice businesses preferred
Project management expertise an asset

Responsibilities

Support the delivery of new business initiatives, partnering with 1B and Control Partners to represent Private Wealth Management and Financial Planning through the initiative life cycle
Work with management / control function partners to assess risks, develop and implement proactive strategies, tactics and programs to effectively manage regulatory and governance issues
Assess / identify key issues and escalate to appropriate levels and relevant stakeholders where required
Primary partner to 1B and Control Partners to support regulatory inquiries, regulatory reviews and internal investigations
Lead the business control mapping against applicable Laws, Rules and Regulations to ensure all requirements are covered
Support the business on regulatory change – assessing the requirements, supporting the 1A design, ensuring new controls are put in place with sustainment
Support the business on issue management – assessing the requirements, supporting remediation, ensuring controls are up to date and sustainable
Support the Business in monitoring, escalating, and reporting on risk profile to ensure field activities are within TD's Risk Appetite and policies
Collaborate with relevant stakeholders to address risks and issues, from identification/reporting through remediation, including completion of exception request templates and/or presentation at the applicable risk forum(s)
Together with G&C and Wealth leaders, promote a strong risk management culture