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The Wealth Shared Services Business Governance & Control team is responsible for oversight of the overall risk management and governance for TD Wealth. The team is responsible for ensuring timely and consistent implementation \u2013 across the Wealth businesses - of all risk, control and governance programs, initiatives, policies and standards.
The Conduct Risk and Sales Practice team is responsible for promoting a sustained culture of integrity and ethics by embedding Conduct Risk management in TD Wealth business practices. Our team enables and enhances a conduct monitoring program with an end-to-end closed loop process to oversee, remediate and strengthen Conduct across TD Wealth.
The role reports to the Senior Manager, Performance Integrity & Analytics. This role will provide the successful candidate with a unique opportunity to leverage their organizational, analytical and communications skills to support the broader Performance Integrity team and is responsible for the sales practice and conduct risk monitoring. It is a chance to participate in high profile Governance & Control initiatives, as well as interact with teams across the organization including line of business Executives, Human Resources, Compliance Business Architecture and others. We are looking for a self-motivated and innovative individual who excels in a cross-functional and high impact team.
Lead reviews into potential performance integrity concerns. Use Wealth and enterprise data sources and systems to analyze data, identify trends, and communicate and report investigation results to help protect TD's customers, employees and shareholders.
Assess potential misconduct scenarios, obtain the necessary data, perform the analysis and provide recommendations on closing potential gaps in existing controls & processes.
Partner with Governance & Control and businesses to propose recommended changes to policies, procedures, and system enhancements to address potential gaps
Contribute to the development of Performance Integrity processes and controls; identify gaps and opportunities to further enhance controls
Provide reporting and recommendations to Wealth Governance & Control executives on Performance Integrity matters, identified gaps and any emerging trends across distribution channels
Partner with other stakeholders across TD Wealth and beyond to ensure a coordinated approach to managing and documenting performance integrity issues
Prepare high-quality presentation materials and reporting
Act as a subject matter expert on sales conduct and practice issues, and represent the Performance Integrity team on projects and initiatives
Effectively manage ad-hoc projects or tasks of varying complexities within established deadlines Foster an environment and culture that encourages productivity, innovation, process improvement, teamwork, and a high level of professionalism
The ideal candidate will have a mix of critical thinking, technical and communication skills to be able to fully comprehend the issue at hand, identify the right measures to quantitatively and qualitatively assess it, and present their findings with recommendations to senior leaders in a well-articulated format.
5\u002B year experience in wealth management businesses and their various products, systems, processes and applications and/or a business analysis/reporting function would be an asset
Strong analytically-anchored problem-solving and critical reasoning skills, solid background working with data and conducting analysis or planning complex data flows and processes.
Strong interpersonal skills, able to build relationships, effectively interact, influence and motivate individuals to make an impact in the organization.
Superior communication skills with proven ability to communicate quantitative/ qualitative information and key messages in a clear and compelling way (tell a story from the numbers) that is flexible to suit different audiences, from field-office to executive-level
Detail oriented with excellent organization skills and ability to effectively manage work under tight timelines and changing priorities
Self-motivated, resourceful team player with high energy and ability to work independently while handling high degree of ambiguity, changing priorities and timelines
Comfortable leading through transformational change and recognized as a champion for continuous improvement
Exceptional personal integrity in order to manage access to sensitive information about risks, results, people, and other
Advanced university degree in Statistics, Finance, Mathematics, Engineering, Economics or other analytically based discipline
A professional business designation (MBA, CFA, CA, etc.) is an asset
Expert skills with Excel, PowerPoint and other Microsoft products
Experience with mining, accessing and analyzing large amounts of data and programming skills (e.g., EDW, SQL, VBA, SAS, Alteryx) are an asset
Experience in Tableau and other visualization tools is considered an asset
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.