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TD Wealth Cares is an integral part of Wealth Management responsible for resolving client complaints. We are responsible to ensure confidence from clients, regulators, investors and markets. The teams primary focus is to review and resolves regulatory complaints and client 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 to resolve a client’s compliant. TD Wealth Cares works to ensure complaint handling is consistent across all Wealth lines of business within the TD complaint handling framework.

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

• Investigating and resolving complex regulatory and (escalated) service complaints;
• Ensuring that all regulatory requirements (IIROC, MFDA) 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;
• Writing comprehensive and well-crafted response letters.
• 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

• Highly motivated, results-oriented individual with superior written and verbal communication skills;
• Experience communicating directly with clients, preferably in a complaint response role;
• Thorough knowledge of US and Canadian markets and regulatory requirements
• 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.

PREFERRED EDUCATION AND ACCREDITATION

• Bachelor’s Degree, LLB or comparable;
• Canadian Securities Course (CSC) and/or Investments Funds in Canada (IFIC);
• Branch Compliance Officers Course (BCO) and/or Investment Dealer Supervisors Course (IDSC)
• Conduct and Practices Handbook Course (CPH)
• Certified Financial Planner (CFP) and/or Professional Financial Planning (PFP);
• Wealth Management Essentials Course (WME);
• Other industry courses are an asset.

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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.