Senior Investigator, Wealth Cares

Work Location:

Toronto, Ontario, Canada

Hours:

37.5

Line of Business:

Compliance

Pay Details:

$76,800 - $115,200 CAD

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.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Job Description:

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.
 

Job Description

• 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; and
• Assist with special projects, as required.

 

Job 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; and
• Willingness to embrace additional responsibilities as required.
• The following courses are considered an asset: 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 are an asset.

Who We Are:

TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we strive to make every interaction, product, and experience remarkably human and refreshingly simple for over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities.

Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical, and mental well-being goals. Total Rewards at TD includes a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs. Learn more

Additional Information:
We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

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.

Colleague Development

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.

If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.  

We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.

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

Interview Process 
We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation
Your accessibility is important to us. Please let us know if you’d like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.

We look forward to hearing from you!

Language Requirement (Quebec only):

Sans Objet