דרושים Wealth Management Advisor - La Jolla Ca ב-Us Bank ב-קנדה

Job Description

This position will be responsible for supporting Merrill Lynch Canada and our Custody clients across Equity and FICC events. Specifically process, communication and reconciliation of our Dividends, Coupons, Maturities and Tax plus support as needed for mandatory corporate actions.

Qualifications

• Brokerage and industry experience beneficial but not necessary.

• Canadian Securities Course beneficial but not necessary.

• Excel and process automation, Tax and product skills an asset

• Perform processing of Events, reconciliations, notifications and cash flows.

• Proven organizational and time management skills.

• Ability to work in a fast paced, deadline-oriented environment.

• Strong interpersonal skills to manage your relationships within custodian, and internal & external clients.

• Excellent communication skills, verbal and written.

• Demonstrated success working in a team environment.

• Ability to work collaboratively on projects and well as independently.

• Ability to work flexible hours, end of day is approximately 5:30pm.

Colleague Development

Additionally, you will have access to a variety of mentoring programs to help you unlock future opportunities.

Training & Onboarding

We are hosting in-person training and onboarding sessions at Ottawa- 1595 Telesat Court for 11 weeks to ensure you’ve got everything you need to succeed in your new role. The training which will require your commitment which will include but not limited to, licensing, systems, and procedures.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.

We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Customer

• Support a specific portfolio of projects with EPDE Governance Requirements and play a key advisory role in supporting project managers

• Work to establish Funding Envelope structure within TDS that can be leveraged for future uses

• Document and Assess Pros and Cons of current vs future state of Governance Models

• Become a key contributor to the new Value Creation Plan (VCP) program

• Become SME over time in EPDE and ORM rules and accountabilities to support Project Managers from advisory perspective

• Provide specialized business management related advice / support to management / leadership and respective teams for area(s) of specialization with industry, external and internal, enterprise and business awareness; understand trends, identify issues and opportunities and provide recommended action to management

• Manage a set of business management work activities requiring coordination across multiple areas

• Support / manage the integrated implementation of policies / processes / procedures / changes in across multiple functional areas

• Provide subject matter expertise and/or input to projects/initiatives as a representative for area of specialization, and where necessary participate in identifying, designing and testing solutions and supporting implementation activities

Shareholder

• May develop and provide complex reporting, analysis, and assessments at the functional or enterprise level

• Support the establishment of Funding Envelope within TD Securities to run in parallel to Smart Funding Process

• Develop and deliver presentations / communications to management or broader audience

• Adhere to internal policies / procedures and applicable regulatory guidelines, contribute to the review of internal processes and activities and assist in identifying potential opportunities to improve operational efficiencies

• Identify variances and contribute to the analysis, due diligence and implementation of initiatives and/or business operations within defined area of responsibility

• Support development and/or/ implementation of standards, policies, procedures, and solutions that mitigate risk and maximize availability of service, efficiency and effectiveness

Employee/Team

• Continuously enhance knowledge / expertise in Project Governance and Project Finance

• Keep current on emerging trends / developments and grow knowledge of the business, analytical tools and techniques

• Prioritize and manage own workload to deliver quality results and meet assigned timelines

• Identify and recommend opportunities to enhance productivity, effectiveness and operational efficiency

• Establish effective relationships across multiple business and technology partners, program and project managers

• Participate in knowledge transfer within the team and business units

Breadth & Depth

• Work independently as the senior analyst / subject matter expert and may coach and educate others

• Considered a subject matter expert within a given area

• Oversee and/or independently perform tasks from end to end

• Generally reports to a Senior / Manager role

Experience & Education

• Undergraduate degree

• 5-7 years relevant experience

• PMP or other Project Management certifications are an asset

• Project Management or other project related work experience

• Experience is reviewing project financials

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.

We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Job Description:

We are seeking a highly motivated compliance professional to join our global Compliance Strategy and Operations team. In this role you will be responsible for designing, scaling, building, implementing, and maintaining an adaptive and mature Risk Compliance Management program. You will empower first-line risk owners and compliance oversight functions to build and maintain mature compliance programs. You will be responsible for identifying potential compliance risks and working with relevant teams to develop mitigation strategies. Must have a strong background in drafting compliance frameworks, policies, standards, and procedures as you will play a critical role in creating a well-documented scalable, sustainable, and repeatable global compliance framework. You will oversee and manage the global compliance governance document inventory. In this role you will also lead the development and execution of the strategic annual compliance plan. Must be able to work well in a team dynamic to ensure the seamless execution of complex, high-impact projects. Must have strong communication, organization, and leadership skills and the ability to work in a fast-paced environment. Demonstrated experience in risk management, risk compliance self-assessment, program effectiveness assessment, and control design effectiveness assessment also desired.

:

• Support the global Compliance Program in defining and achieving departmental objectives:
  • Design operational risk management plans and the annual compliance strategic plan
  • Develop document retention solutions
  • Create and maintain inventories, libraries, and archival systems
  • Improve and scale compliance management routines, workflows, and processes to simplify, streamline and create efficiencies
  • Liaise with risk, compliance, ERM/ORM, legal, and audit partners as required
  • Drive and support the implementation of enterprise-wide transformation projects
  • Perform staffing skills assessments and determine departmental resource gaps
  • Develop and maintain a Roles and Responsibilities matrix
• Take ownership of Compliance Governance Documentation
  • Reviewing, editing, drafting, and maintaining relevant policies and procedures
  • Ensure governance documents align with regulatory expectations, internal standards, industry best practices, and enterprise risk appetite
  • Lead the development of a structured approach to policy management to ensure clarity and consistency
  • Take owner ship of the policy on policy, by designing a policy development framework, approval process, implementation and communication strategy, enforcement and monitoring, review and update management routines, style guide, templates
  • Manage the global Compliance Online Document Inventory, manage the upload process, perform health checks, and provide data driven reports monthly
  • Drafting Procedures that define clear accountability, ownership, roles, and responsibilities and include processes that are sustainable, scalable, and repeatable
  • Leverage the results and output from Risk Control Self-Assessments and Program Effectiveness Assessments to facilitate update process of impacted governance documents
  • Ensure the updating of relevant governance documentation adequately reflects evolving legal, regulatory, and industry best practices
• Lead and draft responses to inquiries from regulators and respond to internal audit findings
• Develop and use metrics (KRIs/KPIs) to oversee and measure first-line performance and the consistent implementation of compliance standards, must have a deep understanding of Risk Control Self-Assessment, Control Effectiveness Assessment, Program Effectiveness Assessment methodologies and GRC tools
• Strong Project management skills to ensure timelines and deadlines are met
• Independently handle projects, work without direct oversight or intervention, manage competing priorities, and communicate effectively with internal audiences,
• The ability to work in a team environment
• Performs other duties and responsibilities as assigned

Education & Experience

• J.D. from an accredited law school
• Minimum 7+ years of experience in governance, or risk management within the financial services or FinTech industry
• Prior experience drafting responses and preparing evidence packages for regulators and internal audit
• Excellent verbal and writing skills with a demonstrated history of independently writing quality policies, and procedures
• Strong understanding of regulatory frameworks, risk management best practices, or mature Compliance Management Systems
• Advance proficiency with GRC platforms (preferably ServiceNow and Archer)
• Consistently delivers high-quality and timely work with strict attention to detail and a strong sense of ownership and accountability
• Intellectually curious, provides insightful solutions as well as information
• Learns and adapts easily, flexible, and comfortable with ambiguity
• Professional demeanor, excellent interpersonal skills, capable of working with all levels of internal and external staff including regulators, and collaborating across large organizations
• Prior project management experience
• Ability to work in a diverse and inclusive workspace
• Ability to work in a team dynamic and be a team player
• Proficient in Word, Excel, PowerPoint, Outlook, Teams, and Microsoft Office Suite

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.

We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

CUSTOMER

• Demonstrate our commitment to being a client-centric organization that puts clients first by ensuring a legendary Client Planning Experience is provided during every client interaction to maximize retention and growth
• Provide the client with wealth planning advice on all facets of business owner and succession planning
• Prepare customized wealth plans independently on a timely basis based on information obtained directly from relationship managers/advisors
• Carry out independent research to ensure all of a client’s business planning issues are addressed and keep abreast of relevant tax, estate and business planning developments
• Participate in client meetings and delivery of client educational seminars as needed
• Build an external network of professionals to support client requirements in specialized areas such as tax, valuations, corporate finance and law

SHAREHOLDER

• Plan, recommend and implement a strategy to deliver industry leading Business Planning solutions to support the growth of PWM/Commercial Bank
• Deliver Business Succession Planning solutions in a manner that is compliant with regulations, policies and procedures
• Proactively spot, anchor, introduce and follow up on opportunities for complimentary businesses and solutions
• Execute on TD Wealth's high net worth strategy
• Assist advisors and relationship managers with business development, opportunity spotting, and revenue generation
• Ensure documentation that is prepared / completed is accurate and properly reflects client / business intentions and is consistent with relevant rules / regulations
• Ensure appropriate service levels are provided to maximize role profitability, minimize costs and manage business to avoid financial losses and reputational damage to TDBG
• Diligently track and report on a regular basis, the outcome of wealth plans delivered and new business generated
• Develops and implements sales strategies to proactively attract, acquire and retain clients, sales opportunities and referrals, to increase profitability and enable TD Wealth growth
• Promote and offer full suite of products, sales, services and banking capabilities for business transition
• Protect the interests of the TD Bank – identify and manage risks, and escalate non-standard, high risk transactions / activities as necessary
• Actively manage relationships within and across businesses and ensure alignment with TD Bank and regulatory requirements
• Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts
• Support our corporate responsibility and citizenship objectives through community and charity involvement

EMPLOYEE / TEAM

• Participate fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication of issues/ points of interest
• Work effectively to develop and maintain good relationships with investment advisors and relationship managers as well as their business leaders within TD Wealth Management
• Provide thought leadership and/ or industry knowledge for own area of expertise and participate in knowledge transfer within the team and business unit
• Keep current on emerging trends/ developments and grow knowledge of the business, related tools and techniques
• Participate in personal performance management and development activities, including cross training within own team
• Contribute to team development of skills and capabilities through mentorship of others, by sharing knowledge and experiences and leveraging best practices.
• Lead, motivate and develop relationships with internal and external business partners / stakeholders to develop productive working relationships.
• Contribute to a fair, positive and equitable environment that supports a diverse workforce
• Act as a brand ambassador for WAS and the bank, both internally and/or externally

BREADTH & DEPTH

• Recognized as an expert in tax/business owner planning and succession planning services
• Serve as a source of expert advice to senior management in field of specialty; may lead team(s) of related specialists/experts
• Work within general policies and industry guidelines
• Engages stakeholders to take action; serves as a source of expert advice, influences change; frames information in a broader organizational context

EXPERIENCE & EDUCATION

• Undergraduate degree
• Advanced professional degree (CA, LL.B/JD, etc)
• Certified financial planning designation an asset (CFP, Pl. Fin, etc.)
• Tax knowledge and expertise on all facets of succession and transition planning
• Completion of the In-depth Tax course, levels 1 & 2 or Masters of Tax is a strong asset and/or
• Minimum 10 years of practical experience

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.

We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Job Description:

About This Role:

As a Container Vulnerability Management Analyst at TD Bank, you will be a member of the Enterprise Vulnerability Management (EVM) Governance team and will develop and implement technology controls and policies to ensure that the containerized technologies are built and deployed securely. You will focus on enabling TD teams and leaders to understand security risks coming from vulnerabilities in containers. Working closely with our partners in development experience and DevOps verticals, you will identify gaps in current processes and tooling, enforce standards and policies and track vulnerability remediation to mitigate risks. You will have an opportunity to present various reports, analyses, and assessments to functional, business, and enterprise-level audiences.

To succeed in this position, you will need to have a strong understanding of vulnerability management and risk management disciplines as well as technical expertise in the world of containers, including technologies such as Docker, Kubernetes, Red Hat OpenShift, Wiz and any of the cloud platforms (Azure and GCP preferred).

Responsibilities:

• Provide technical expertise and oversight for container scanning, container vulnerability prioritization, and remediation control requirements.
• Be a lead contributor to enterprise-level initiatives pertaining to container security and risk remediation.
• Effectively communicate critical vulnerabilities, their impacts, associated risk, and remediation priorities to cross-functional leadership teams.
• Help build and enforce technology controls, along with container security standards to ensure best practices are followed, when building and deploying application containers.
• Influence behavior to reduce risk and foster a strong technology risk management culture throughout the bank.

Job Requirements:

Must-haves

• Bachelor's or Master's degree
• 5+ years of experience in information security or product security
• Strong experience with vulnerability management concepts, including identifying, assessing, mitigating, and reporting security vulnerabilities
• Technical expertise with Docker, Kubernetes, platforms such as Azure Kubernetes Service (AKS) or Google Kubernetes Engine (GKE), container registries such as Azure Container Registry (ACR) or Google Artifact Registry (GAR), Sonatype Nexus.
• Experience with container scanning tools such as Aqua Security or Wiz
• ServiceNow SecOps, including the Vulnerability Response modules
• Working knowledge of CVEs, CWEs, risk treatment and remediation tracking strategies
• Familiarity with prioritization techniques of vulnerabilities such as EPSS, SSVC, etc.
• Familiarity with Azure or GCP cloud and cloud security.
• Demonstrated ability to participate in complex, comprehensive or large projects and initiatives.
• Ability to support technology controls and information security for project teams, the business, organization, and outside vendors.
• Ability to work independently without supervision; demonstrated ability to manage and deliver tasks and job responsibilities in a timely manner
• Excellent written communication and organizational skills.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.

We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

JOB DESCRIPTION

Primary Responsibilities

• Support the strategy and delivery of Wealth's various Road to Strong workstreams and initiatives. Represent Wealth on the enterprise related working groups and support the coordination of Wealth work efforts to meet program requirements.

• Support the delivery of new business and regulatory initiatives, including partnering with business and Control Partners to lead or represent Wealth Advice, through the initiative life cycle.

• Work closely with other Senior Managers supporting the Wealth Road to Strong initiative, assessing risk and control attributes, and helping Wealth achieve target operating model and regulatory expectations.

• Develop, maintain, and implement robust policies and procedures to support TD Wealth while promoting a sustained culture of integrity and ethics.

• Conduct ongoing reviews of processes and controls, identify gaps, and drive initiatives to strengthen governance and controls.

• Partner with Governance & Control and other risk partners to propose recommended changes to policies, procedures, and to address potential gaps.

• Effectively manage ad-hoc projects or tasks of varying complexities within established deadlines.

• Report on program milestones, achievements, and challenges to executive stakeholders.

• Demonstrate a strong understanding and promote awareness of key operational risks. frameworks/policies and risk appetite to support a strong risk culture.

• Anticipate emerging issues, trends, and evolving regulatory requirements to identify new opportunities and operational impacts to the business.

JobRequirements/Qualifications/Skills/Experience/Education

• The ideal candidate should have 10+ years of prior experience in financial services and have related experience in Audit or testing, the Wealth business, regulatory environment, risk management, governance, and controls.

• University degree

• Audit/Controls experience is considered an asset

• Deep understanding of risk management and experience in creating effective risk polices.

• Expertise in analytical reasoning and risk mitigation.

• Superior communication skills with experience in writing policy and/or procedures and the ability to communicate information and key messages in a clear and compelling way to suit different audiences.

• Strong business acumen and analytical capabilities – ability to consolidate information into clear, concise analysis in support of business decisions

• Strong interpersonal skills, able to build relationships, effectively interact, influence, and motivate individuals at all levels of the organization to make an impact.

• Detail-oriented with excellent organization skills and ability to effectively manage work under tight timelines and changing priorities.

• A logical and strategic thinker with strong critical reasoning skills

• Self-motivated,resourceful team player with high energy and ability to work independently.

• Comfortable leading through transformational change and recognized as a champion for continuous improvement.

• Knowledge of the Wealth businesses, processes, systems, and controls.

Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.

If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.

We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.