Wealth Operations Business Management Specialist

About the role

The Wealth Operations Business Mgmt. Specialist manages a diverse portfolio of business management activities for complex or high risk functional area(s), and implements policies/processes and/or initiatives to meet business management, strategy and governance objectives. Interfaces regularly with management in the delivery of work activities.

Responsibilities

• Contributes to the strategic direction of the business management function and play a key role in the development and implementation of strategies in support of the overall business strategy
• Plans, leads/manages and/or oversees a diverse set of work activities requiring alignment across multiple areas
• Leads/manages the integrated implementation of policies/processes/procedures/changes across multiple functional areas
• Provides direction and/or input to complex, wide ranging enterprise or cross-function/business projects/initiatives as a subject matter expert and where necessary participates in identifying, designing and testing solutions and supporting the implementation
• Facilitates key discussions and provides thought leadership to executive audience (output is roadmap and/or strategic plan/deliverables/frameworks/short to long term goals etc.)
• Leads partner to management/leadership and respective teams for area of specialization with industry, external and internal, enterprise and business awareness; recognizing and anticipating emerging trends and; identifying issues and opportunities and recommending action to senior management
• Works effectively with multiple teams across a broad spectrum of initiatives and functional domains, influencing others as needed
• Adheres to enterprise frameworks and methodologies that relate to business management activities for own area
• Actively manages relationships with corporate and/or control functions and ensure alignment with enterprise and/or regulatory requirements
• Keeps abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts to the Bank
• Assesses/identifies key issues and escalate to appropriate levels and relevant stakeholders where required
• Maintains a culture of risk management and control, supported by effective processes and sound infrastructure and in alignment with risk appetite
• Ensures business operations are in compliance with applicable internal and external requirements (e.g. financial controls, segregation of duties, transaction approvals, and physical control of assets)
• Participates in cross-functional/enterprise initiatives as a subject matter expert helping to identify risk/provide guidance for complex situations
• Leads relevant governance meetings or committees and related deliverables/outcomes
• Leads/facilitates and/or implements action/remediation plans to address performance/risk/governance issues

Requirements

• Undergraduate degree
• 7+ years relevant experience
• A minimum of Series 99 registration is required; If hired without licenses, candidate will need to acquire within a defined period outlined at time of hire
• This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered position under FINRA.
• Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e)
• Satisfactory results on a criminal background check, credit report check, civil litigation search, and regulatory agency or self-regulatory organization enforcement action search, and statements/certification from job applicant regarding administrative, civil, and/or criminal findings by any government agency/authority or self-regulatory organization, are required by federal law for this position

Skills & qualifications

• Works autonomously and accountable for acting as a lead within a specialized business management function and may provide work direction to others
• Provides seasoned specialized knowledge, advice and/or guidance to various stakeholders and team members
• Scope of role may have enterprise impact
• Focuses on short to medium-term issues (e.g. 6-12 months)
• Undertakes and completes a variety of complex projects and initiatives requiring specialist knowledge and/or the integration of cross functional processes within own area of expertise
• Oversees and/or independently performs tasks from end to end
• Provides thought leadership and/or industry knowledge for own area of expertise
• Supports a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication of issues/points of interest
• Identifies and recommends opportunities to enhance productivity, effectiveness and operational efficiency
• Works effectively as a team, supporting other members of the team in achieving business objectives and providing client services
• Participates in knowledge transfer within the team and business units

Pay

• $91,000 - $145,600 USD
• TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

Schedule

• Hours: 40
• Domestic Travel – Occasional
• International Travel – Never
• Performing sedentary work – Continuous
• Performing multiple tasks – Continuous
• Operating standard office equipment - Continuous
• Responding quickly to sounds – Occasional
• Sitting – Continuous
• Standing – Occasional
• Walking – Occasional
• Moving safely in confined spaces – Occasional
• Lifting/Carrying (under 25 lbs.) – Occasional
• Lifting/Carrying (over 25 lbs.) – Never
• Squatting – Occasional
• Bending – Occasional
• Kneeling – Never
• Crawling – Never
• Climbing – Never
• Reaching overhead – Never
• Reaching forward – Occasional
• Pushing – Never
• Pulling – Never
• Twisting – Never
• Concentrating for long periods of time – Continuous
• Applying common sense to deal with problems involving standardized situations – Continuous
• Reading, writing and comprehending instructions – Continuous
• Adding, subtracting, multiplying and dividing – Continuous

This response is AI-generated, for reference only.