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The Governance & Control team supports TD Private Wealth Management (PWM), and is responsible for the oversight of business risk for Private Investment Advice (PIA), Private Investment Counsel (PIC), Private Banking (PB), Private Trust (PT) and Wealth Insurance Services (WISI) businesses. Oversight is comprised of discretionary portfolio oversight activities, field oversight and testing, and implementation of key changes across PWM.
The Portfolio Management Oversight Team, which is part of the broader Governance & Control Team provides regulatory oversight for the TD Privately Managed Portfolios (PMP) Program and TD Private Investment Counsel. The TD Privately Managed Portfolios program is the discretionary Investment Advisor/Portfolio Manager fee-based program for TD Wealth Private Investment Advice. This program is an ideal solution for high net worth clients who wish to delegate their day to day investment decisions to a qualified Portfolio Manager. The PMP program currently has $20 Billion in assets that are managed on a discretionary basis by over 266 Portfolio Managers; this program has experienced a high level of growth and growth continues to be high. Supervision of these accounts is a regulatory requirement.
Working with the Supervising Portfolio Manager and other immediate team members, internal partners and the broader PWM Governance & Control team, the successful candidate will focus on the investment suitability and oversight of the TD Privately Managed Portfolios program.
The primary responsibilities for this role include, but are not limited to:
Complete suitability reviews of Investment Policy Statements for Associate Portfolio Managers.
Be involved in the quarterly account oversight review of all households in the TD Privately Managed Portfolio Program to ensure that each managed portfolio conforms to the clients Investment Policy Statement, program investment guidelines and IIROC regulations.
Act as a relationship manager with TD PIA discretionary Portfolio Managers in coaching on various investment related and oversight matters.
Attended quarterly Externally Managed Account Review Committee (EMARC) meetings and monthly Portfolio Advice and Investment Research/Product/Investment Management Review meetings in gain investment insights and document for PMP Oversight purposes.
Coordinate, with the direction of the Supervising Portfolio Manager, resolution of any issues identified as a part of the monthly and quarterly oversight process and escalate issues where necessary.
Oversee the tracking process to ensure Investment Policy Statements are updated at least annually as needed.
Participate in the quarterly PMP Oversight review results to the Portfolio Management Review Committee (PMRC).
Point of contact for internal auditors and facilitates responses to inquiries for external audits in coordination with the Supervising Portfolio Manager.
As a member of the broader Private Wealth Management (PWM) Governance and Control team you will need to support various broader initiatives from time to time
Please note this program is growing at approximately 20% per year and the expectation is that the role will evolve as the needs of program evolve.
Other Duties as assigned.
Key Interactions The following internal interactions constitute an integral part of this position:
Direct report to Supervising Portfolio Manager along with high level interactions with TD Private Wealth Management Executive Team, Portfolio Managers, Regional Administrative Managers, Associate Investment Advisors, Client Service Associates, Branch Managers, Regional Heads, PMP Oversight team members and internal partners including Wealth Product, Business Architecture, Practice Management, Portfolio Advice and Investment Research, New Accounts, Registrations and the members of the Portfolio Management Review Committee
Accountable to the Supervising Portfolio Manager and AVP Governance & Control
Superior oral and written communication skills Strong problem-solving and decision-making skills with ability to effectively communicate with senior managers and executives. Strong Proficiency in MS Office Excel. Demonstrated ability to build strong collaborative business relationships. Well organized, and able to execute well in a multi-task environment Very detail conscious and very accurate Progressive experience in the financial services industry. Solid presentation skills. Field experience dealing directly with clients, Investment Advisors and Portfolio Managers.
Specific Educational Requirements / Accreditations: CFA Charter holder or working towards CFA charter. Proficiencies in order to meet IIROC licensing requirements as a Supervisor for Managed Accounts.
University degree required, in business or related field preferred.
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.