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Regional Manager, Financial Planning

Calgary, AB
Full Time
6 days ago
Company Overview

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Department Overview
This role is responsible for the remote leadership of a team of accredited Financial Planners (FPs) focused on the mass affluent customer segment and provides sales leadership, business development, referrals, and coaching to achieve targets and support overall sales culture.

Job Description
  • Lead a team of Wealth Financial Planners (FPs) who are focused on acquiring and retaining target Mass Affluent customers; consistently delivering our Financial Planning value proposition Focus on achieving business objectives by providing sales and client experience leadership to a team of FPs
  • Provide coaching, direction and motivation to deliver strong sales results, good business practices and compliance requirements
  • Act as the lead coach in building the discipline and true practitioner ability of their FPs to provide sound financial advice and holistic financial plans
  • Lead the client experience and client engagement model to bring value to our clients and differentiate our offering
  • Ensure all customer facing activities support the client experience and enhance the brand

  • Adhere to enterprise frameworks or methodologies that relate to activities for our business area
  • Ensure respective programs / policies / practices are well managed, meet business needs, comply with internal and external requirements, and align with business priorities
  • Consistently exercise discretion in managing correspondence, information and all matters of confidentiality; escalate issues where appropriate
  • Ensure business operations are following applicable internal and external requirements (e.g. financial controls, segregation of duties, transaction approvals and physical control of assets)
  • Participate and lead cross-functional / enterprise initiatives as a subject matter expert helping to identify risk and provide guidance for complex situations
  • Conduct internal and external research projects; support the development / delivery of presentations / communications to management or broader audience
  • Conduct meaningful analysis at the functional or enterprise level using results to draw conclusions, make recommendations, assess the effectiveness of programs / policies / practices
  • Monitor service, productivity and assess efficiency levels within own function and implement continuous process / performance improvements where opportunity exists
  • Lead / facilitate and/or implement actions / remediation plans to address performance / risk / governance issues
  • Actively manage relationships within and across various business lines, corporate and/or control functions and ensure alignment with enterprise and/or regulatory requirements
  • Keep abreast of emerging issues, trends, and evolving regulatory requirements and assess potential impacts
  • Maintain a culture of risk management and control, supported by effective processes in alignment with risk appetite

  • Lead a high performing team; provide ongoing feedback and performance reviews, coach and develop employees and ensure performance management activities are undertaken and provide regular input into employee assessments and development plans
  • Develop annual and/or long-term plans for own area and influences plans well beyond area managed
  • Responsible for management of the overall team providing both leadership and guidance striving towards a positive and high performing team culture
  • Grow team expertise to align with business/enterprise demand and direction; assess team skills and capabilities and continually look for ways to provide and enhance the value delivered
  • Lead the process of setting targets and performance objectives for the team; track, monitor and effectively address and/or reward performance in a timely manner to drive results
  • Manage employees in compliance with all human resources policies, procedures and guidelines of conduct
  • Share knowledge, information, skills, and subject matter expertise among the team and ensure the timely communication of issues and encourage good working relationships with other functions and teams
  • Support an environment where team freely escalates business challenges; facilitate change through positive reinforcement of milestones and successes
  • Recruit for all hires to ensure a highly diverse, qualified workforce to achieve business objectives
  • Contribute to the development of business segment and/or enterprise functional strategic priorities within their operational area or field of specialty
  • Act as a brand champion for the Financial Planning function, TD Wealth and the Bank, both internally and externally

Breath & Depth
  • Lead and manage a sizeable team of sales professionals in an area of moderate risk, complexity or scope, while growing talent, developing skills and capabilities to achieve career goals, support project / initiative success and achieve business results
  • Accountable for team sales performance and / or delivery of solutions
  • Ability to present and make recommendations to senior management and executives
  • Ensure an integrated approach with other business areas, broader organization, and enterprise as appropriate
  • Coordinates and prioritizes multiple initiatives and manages resource allocation
  • Establishes effective relationships with different Stakeholders, Business Sponsors, Executives and LOB
  • Provides support and contributes to the overall discipline and strategy for respective areas
  • Provides coaching, mentorship and guidance to practitioners, business, executives within area of expertise
  • Deep knowledge and understanding of businesses / technology, and organizational practices/ disciplines
  • Sound to advanced knowledge of external competition, industry and/or market trends in relation to own function / business
  • Focus on short to medium-term issues (e.g. 6-12 months)
  • Generally reports to a Senior Manager or executive role

Additional Information
Education and/or Experience:
  • University Degree/College Diploma
  • 5+ Years of management experience plus 3-5 years of industry experience
  • Must have one of the following completed: Certified Financial Planner (CFP) Designation or Personal Financial Planner (PFP) Designation, Personal Financial Planning Course (PFPC)
  • Canadian Securities Course (CSC) and Conduct & Practices Handbook (CPH) to be completed within 6 months of start date.
  • Investment Dealer Supervisors Course (IDSC) to be completed within 12 months of start date
  • Wealth Management Essentials (WME) to be completed within 30 months of start date
  • For Quebec only: Institut Quebecois de planification financiere (IQPF) prior to start date.


At TD, we are committed to fostering an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of our customers and communities in which we live and serve. If you require an accommodation for the recruitment/interview process (including alternate formats of materials, or accessible meeting rooms or other accommodation), please let us know and we will work with you to meet your needs.
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