FPDE TRADE TEAM JOB DESCRIPTION
- Respond to client inquiries promptly and accurately; proactively providing options and solutions.
- Assist clients with trade redemption requests acting as an extension of the Financial Planner’s business.
- Provide wealth operations and phone support to financial planners and their dedicated CSA’s all over Canada.
- Serve as the primary point of contact for all request, inquires, investigations, and escalations related to the strategic managed portfolios (SMP) program.
- Act as a key resource for providing deep technical subject matter expertise, analysis and operational process support as well as bringing in appropriate partners on key initiatives.
- Assist in the execution and settlement of trade transactions, including equities, mutual funds, GICs, ETFs, bonds, and other financial instruments.
- Work with Team Managers with complex client escalations through working with multiple partners for a client resolution.
- Execute corrections and adjustments to trade transactions, ensuring accurate and timely updates to trade records and accounts.
- Prepare and review reports on trade corrections, including summary reports and detailed documentation of correction activities.
- Design, generate, and maintain regular and custom reports as required by various departments.
- Provide ongoing trade support by leading training sessions for newly licensed CSAs.
- Lead work streams by acting as a project lead on a range of projects and initiatives in accordance with project management methodologies.
- Verify that all necessary legal documents for estate liquidation have been obtained and execute the liquidation of estate accounts.
- Conduct a review of FP exceptions requests on the product shelf policy issued by National Office to determine eligibility based on criteria, product suitability and the business case rationale for financial planning accounts.
- Identify, document, investigate processes arising from transactions beyond 1st level operations service delivery and resolve raised matters and refer complex issues beyond own level of expertise.
- Participate in the identification, development, and implementation of continuous improvement opportunities within TD Wealth.
- Be knowledgeable of practices and procedures within own area of responsibility and keep tabs on emerging trends.
- Maintain a culture of risk management and control, supported by effective processes in alignment with compliance.
- Participate fully as a member of the team, support a positive work environment, and ensure timely communication of issues.
- Generate report to identify FPs with excessive trading errors within a month period and provide discovery to Business Surveillance and Risk Reporting Team.
- Sell MF within fee-based and transactional accounts when there is a debit position that must be cleared to minimize potential interest charges for clients.
EXPERIENCE & EDUCATION
- Undergraduate degree and/or
- 1+ years relevant experience
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 deliver legendary customer experiences to 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 the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.
TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you’ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we’re here to support you towards your goals. As an organization, we keep growing – and so will you.
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