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Port Hope

    Consultant Banque Financial Risks and Regulatory F/H - Port Hope, ON, Canada - TD Bank

    TD Bank
    TD Bank Port Hope, ON, Canada

    1 week ago

    TD Bank background
    Full time
    Description

    Job Description:

    Provide ongoing comprehensive reviews of clients' financial circumstances and create long-term relationships by providing financial planning expertise and ongoing services.

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    Job Responsibilities:
    Identify, recommend and effectively execute standard practices applicable to the discipline
    Consistently exercise discretion in managing correspondence, information and all matters of confidentiality; escalate issues where appropriate
    Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts
    Protect the interests of the organization – identify and manage risks, and escalate non-standard, high risk activities as necessary
    Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite
    Conduct internal and external research projects; support the development / delivery of presentations / communications to management or broader audience
    Monitor service, productivity and assess efficiency levels within own function and implement continuous process / performance improvements where opportunities exists
    Conduct reporting and / or meaningful analysis at the functional or enterprise level using results to draw conclusions, make recommendations, assess the effectiveness of programs/ policies/ practices
    Be knowledgeable of practices and procedures within own area of responsibility and keep abreast of emerging trends for own functional area
    Acquire and apply expertise in the discipline, provide guidance, assistance and direction to others
    Adhere to internal policies/procedures and applicable regulatory guidelines


    Job Requirements:
    Complete Conduct & Practices Handbook (CPH) within first 90 days in role
    Canadian Securities Course (CSC) required
    University Degree and/or 3-5 years industry experience
    Achieve Certified Financial Planner designation within first 2 years in role
    Complete Wealth Management Essentials (WME) within first 30 months in role
    IIROC license preferred (required within first 90 days in role)


    Job Details:

    Company:
    TD Bank


    Vacancy Type:
    Full Time

    Job Location:
    Port Hope, ON, CA


    Application Deadline:
    N/A

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