Business Program Analyst I

TD•Toronto, ON

1d•CA$52,700 - CA$74,400•Onsite

About The Position

Respond to client inquiries promptly and accurately; proactively providing options and solutions. Assist clients with trade redemption requests acting as an extension of the Financial Planner's business. Provide wealth operations and phone support to financial planners and their dedicated CSA's all over Canada. Serve as the primary point of contact for all request, inquires, investigations, and escalations related to the strategic managed portfolios (SMP) program. Act as a key resource for providing deep technical subject matter expertise, analysis and operational process support as well as bringing in appropriate partners on key initiatives. Assist in the execution and settlement of trade transactions, including equities, mutual funds, GICs, ETFs, bonds, and other financial instruments. Work with Team Managers with complex client escalations through working with multiple partners for a client resolution. Execute corrections and adjustments to trade transactions, ensuring accurate and timely updates to trade records and accounts. Prepare and review reports on trade corrections, including summary reports and detailed documentation of correction activities. Design, generate, and maintain regular and custom reports as required by various departments. Provide ongoing trade support by leading training sessions for newly licensed CSAs. Lead work streams by acting as a project lead on a range of projects and initiatives in accordance with project management methodologies. Verify that all necessary legal documents for estate liquidation have been obtained and execute the liquidation of estate accounts. Conduct a review of FP exceptions requests on the product shelf policy issued by National Office to determine eligibility based on criteria, product suitability and the business case rationale for financial planning accounts. Identify, document, investigate processes arising from transactions beyond 1st level operations service delivery and resolve raised matters and refer complex issues beyond own level of expertise. Participate in the identification, development, and implementation of continuous improvement opportunities within TD Wealth. Be knowledgeable of practices and procedures within own area of responsibility and keep tabs on emerging trends. Maintain a culture of risk management and control, supported by effective processes in alignment with compliance. Participate fully as a member of the team, support a positive work environment, and ensure timely communication of issues. Generate report to identify FPs with excessive trading errors within a month period and provide discovery to Business Surveillance and Risk Reporting Team. Sell MF within fee-based and transactional accounts when there is a debit position that must be cleared to minimize potential interest charges for clients.

Requirements

Undergraduate degree and/or 1+ years relevant experience.
Successful candidates will be required to be licensed as an Investment Representative (IR) with the Canadian Investment Regulatory Organization (CIRO)

Responsibilities

Respond to client inquiries promptly and accurately; proactively providing options and solutions.
Assist clients with trade redemption requests acting as an extension of the Financial Planner's business.
Provide wealth operations and phone support to financial planners and their dedicated CSA's all over Canada.
Serve as the primary point of contact for all request, inquires, investigations, and escalations related to the strategic managed portfolios (SMP) program.
Act as a key resource for providing deep technical subject matter expertise, analysis and operational process support as well as bringing in appropriate partners on key initiatives.
Assist in the execution and settlement of trade transactions, including equities, mutual funds, GICs, ETFs, bonds, and other financial instruments.
Work with Team Managers with complex client escalations through working with multiple partners for a client resolution.
Execute corrections and adjustments to trade transactions, ensuring accurate and timely updates to trade records and accounts.
Prepare and review reports on trade corrections, including summary reports and detailed documentation of correction activities.
Design, generate, and maintain regular and custom reports as required by various departments.
Provide ongoing trade support by leading training sessions for newly licensed CSAs.
Lead work streams by acting as a project lead on a range of projects and initiatives in accordance with project management methodologies.
Verify that all necessary legal documents for estate liquidation have been obtained and execute the liquidation of estate accounts.
Conduct a review of FP exceptions requests on the product shelf policy issued by National Office to determine eligibility based on criteria, product suitability and the business case rationale for financial planning accounts.
Identify, document, investigate processes arising from transactions beyond 1st level operations service delivery and resolve raised matters and refer complex issues beyond own level of expertise.
Participate in the identification, development, and implementation of continuous improvement opportunities within TD Wealth.
Be knowledgeable of practices and procedures within own area of responsibility and keep tabs on emerging trends.
Maintain a culture of risk management and control, supported by effective processes in alignment with compliance.
Participate fully as a member of the team, support a positive work environment, and ensure timely communication of issues.
Generate report to identify FPs with excessive trading errors within a month period and provide discovery to Business Surveillance and Risk Reporting Team.
Sell MF within fee-based and transactional accounts when there is a debit position that must be cleared to minimize potential interest charges for clients.