Senior Investigator, Wealth Cares

TD•Toronto, ON

2d•CA$76,800 - CA$115,200•Onsite

About The Position

TD Wealth Cares is an integral part of Wealth Management responsible for resolving client complaints. Our goal is to ensure confidence from clients, regulators, investors and markets. The team's primary focus is to review and resolve regulatory and service complaints that remain unresolved at the first level. Our professionals investigate and act as a liaison between clients and all business areas within the Bank. TD Wealth Cares works to ensure complaint handling is consistent across all Wealth lines of business within the TD complaint handling framework. Our aim is to ensure fair resolution is offered. The department is responsible for handling client complaints on behalf of Direct Investing, Financial Planning, Private Investment Advice, Private Investment Counsel, Private Trust, TD Wealth Insurance Services, Wealth Advisory Services.

Requirements

Highly motivated, results-oriented individual with superior written and verbal communication skills.
Experience communicating directly with clients, preferably in a complaint response role.
Attention to detail, analytical, organizational, and problem-solving capabilities.
Knowledge of TDCT and Wealth processes, products and services.
Ability to interact and work with individuals at all levels of the organization.
Proven ability to work independently, manage and prioritize multiple tasks to meet deadlines.
Proficient knowledge of MS Office, Word, Excel, Access, Power Point.
Ability to operate in an evolving and often changing environment.
Willingness to embrace additional responsibilities as required.

Nice To Haves

Canadian Securities Course (CSC)
Investments Funds in Canada (IFIC)
Branch Compliance Officers Course (BCO)
Investment Dealer Supervisors Course (IDSC)
Conduct and Practices Handbook Course (CPH)
Certified Financial Planner (CFP)
Professional Financial Planning (PFP)
Wealth Management Essentials Course (WME)
Other industry courses

Responsibilities

Investigating and resolving complex regulatory and (escalated) service complaints.
Ensuring that all regulatory requirements (CIRO) around complaint handling/reporting are satisfied, and all internal service level agreement timelines are consistently met.
Regularly interacting with Wealth business partners to verify facts and provide compensation recommendations.
Performing detailed calculations that inform as to regulatory and/or financial risk.
Identifying systemic issues and trends and developing potential solutions through detailed and accurate reporting.
Taking ownership and responsibility to ensure an immediate solution to triage and close files in an expedited manner.
Assist with special projects, as required.