Senior Regional Manager - Financial Planning
Reference ID: 237656BR
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CUSTOMER: Manage relationships with our clients, the Financial Planners and Regional Managers Lead and coach team to deliver an exceptional client experience at every interaction Manage the Financial Planning Support function
SHAREHOLDER: Proactively identify, develop and implement opportunities in our current operating model to free up capacity in both sales support staff and FPs so they can focus on growth opportunities Monitor service delivery, implement action plans to ensure service deliverables are consistently achieved Active involvement in developing and executing strategic business plans, staff recruitment/development, leading projects/campaigns and managing the team to ensure CEI, TD Pulse and business department objectives are met; lead the evolution and strategic development of the FPSS support model Ensure processes and controls are in place within the business aligning to the Risk appetite statement and strong governance processes to ensure all risks are identified, understood and managed effectively; strengthen internal controls and compliance where required Ensure respective programs/policies/practices are well managed, meets business needs, complies with internal and external requirements, and aligns with business priorities Consistently exercise discretion in managing correspondence, information and all matters of confidentiality; escalate issues where appropriate Ensure business operations are in compliance with applicable internal and external requirements ( e.g. financial controls, segregation of duties, transaction approvals and physical control of assets) Participate in cross-functional / enterprise / initiatives as a subject matter expert helping to identify risk / provide guidance for complex situations Monitor the quality and audit the reviews completed by the Managers of Financial Planning Support Oversee and at times participate in the process of completing in-depth file reviews including: Defined benefit pension rollovers exceeding $100,000 Prior reviews for new planners as requested Complete the RMs file review responsibilities during times of vacation or extended absence Oversee and complete research inquiries with the following organizations: CCRA, HRDC, Financial Services Commissions Monitor service, productivity and assess efficiency levels within own function and implement continuous process / performance improvements where opportunities 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
EMPLOYEE / TEAM: Reporting to the AVP Financial Planning Service & Support, the Group Manager is accountable for day to day operation and management of the Financial Planning Service & Support team. The role involves working with our FP Business, Operations & Technology Partners, FP National Sales and other key support areas with the ultimate goal to create legendary client experiences through our service delivery experience. Accountable for all aspects of people management including quarterly and annual performance appraisals, reward and recognition, recruitment, training, career and personal development and performance management; lead change management through positive reinforcement of milestones and successes Integrate activities with other Wealth Management areas to ensure a high level of service and productivity, managing key partner relationships Create and foster a cohesive team and promote a positive work environment; act as a positive role model by demonstrating an optimistic attitude to motivate and inspire Responsible for management of the overall team providing both leadership and guidance Set targets and objectives for the team, and deliver results 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 a high performing team; provide on-going feedback and performance reviews, coach and develop employees and ensure performance management activities are undertaken and completed for all employees Lead the process of setting performance objectives for the team; track, monitor and effectively address and/or reward performance in a timely manner 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 Establish and foster a cohesive team; promote a fair and equitable environment that supports a diverse workforce and encourage the team to achieve common goals and objectives Act as a brand ambassador for your business area/function and the bank, both internally and/or externally
BREADTH & DEPTH: Oversee and lead a large and/or highly complex and diverse reporting function for an area of significant risk, complexity or scope while growing talent, developing skills and capabilities to achieve career goals, support project / initiative success and achieve business results Provides coaching, mentorship and guidance to practitioners, business, executives within area of expertise Manages and oversees the overall discipline and strategy for the respective areas while aligning to the enterprise best practices Provides coaching, mentorship and guidance to practitioners, business, executives within area of expertise Strategic partner to leadership team on the management of the portfolio and financials, with deep industry, external / internal, enterprise knowledge, recognizing and anticipating emerging trends and; identifying operational efficiencies and opportunities with other business management / enterprise areas Facilitate key strategic discussions and provide thought leadership to executive audience (output may include strategic roadmap and/or deliverables/ frameworks/ short to long term goals etc.) Set operational team direction and collaborate with others to execute on common goals Focus on longer-range planning for functional area (e.g. 12 months or greater) Generally reports to business management executive
EXPERIENCE AND / OR EDUCATION University Degree Must have one of the following: CFP, PFP, or PFPC Completion of the Canadian Securities Course (CSC) Branch Managers Course and CPH to be completed within 12 months of hire 5+ years management experience at a senior level plus 5 years industry experience Successful completion of WME thought CSI IQPF accreditation in Quebec
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.
Posted: March 21, 2019
Closes: May 20, 2019