TD Bank
Head of Wealth Investment Platforms and Business Processes (US)
TD Bank, Bernardsville, New Jersey, United States, 07924
Investment Management Director
Work Location: Bernardsville, New Jersey, United States of America Hours: 40 Pay Details: $270,000 - $350,000 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs. As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role. Line of Business: TD Wealth Job Description: Depth & Scope: Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required Develops and executes a comprehensive strategy to optimize end-to-end procedures associated with Investment platforms, ensuring alignment with regulatory requirements and business goals Identifies inefficiencies, control gaps, and opportunities for automation and standardization, driving scalable solutions across U.S. Wealth Simplifies advisor-facing processes to minimize administrative burdens and improve advisor productivity Redesigns client-facing workflows (e.g., onboarding, portfolio management, account administration) to enhance client satisfaction and engagement Works closely with National Sales and Distribution teams to implement solutions that reduce re-work and improve advisor and client experiences Leads effort to streamline back-office operations including trade processing and settlement, payment processing, client onboarding and transaction processing Identifies and addresses control gaps in operational workflows, implementing robust safeguards to mitigate risk and improve accuracy Oversees the enhancements and integration of U.S. Wealth investment platforms such as Pershing, Envestnet, FIS TrustDesk, and Salesforce Ensures platform upgrades and releases align with advisor and client needs while driving operational excellence Maintains a detailed understanding of FINRA and SEC regulations, ensuring all operational workflows comply with regulatory requirements Acts as a trusted advisor to the U.S. Wealth executive team, providing actionable insights on process optimization and platform enhancements Leads the adoption of advanced technologies such as robotic process automation (RPA), artificial intelligence (AI), and business intelligence tools to modernize the U.S. Wealth operating model Education & Experience: Bachelor's degree and progressive work experience 15+ years of related experience 7+ years of extensive wealth management, controls, processes enhancements, investment platform, and wealth products experience required Series 7, 24, 63 and 65 (or equivalent) FINRA Registrations Exceptional problem solving and analytical skills (issue identification, problem structuring, process redesign, analysis, development of actional recommendations) and conceptual thinking abilities Strong understanding of and experience in implementing large scale and complex programs/projects; proven ability to work effectively with teams and individuals Strong understanding of and experience with industry-leading investment platform vendors (i.e., Envestnet, Pershing, etc.) Excellent communication skills, both written and verbal Advanced facilitation and influence management skills Proven ability to develop good business relationships with internal and external partners Able to work in an unstructured and fast paced environment OCC: This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered position under FINRA. Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to investigate the good character, business reputation, qualifications and experience of an applicant for registration before applying to register the applicant with FINRA and filing the applicant's Form U4 with the CRD, and before representing on the applicant's Form U4 that it has conducted this investigation and verified the accuracy and completeness of the information contained in the applicant's Form U4; and the Firm's obligation to verify the accuracy and completeness of the information contained on the applicant's Form U4, no later than 30 calendar days after the Form U4 is filed with FINRA. Satisfactory results on a criminal background check, credit report check, civil litigation search, and regulatory agency or self-regulatory organization enforcement action search, and statements/certification from job applicant regarding administrative, civil, and/or criminal findings by any government agency/authority or self-regulatory organization, are required by federal law for this position. Physical Requirements: Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100% Domestic Travel
Occasional International Travel
Occasional Performing sedentary work
Continuous Performing multiple tasks
Continuous Operating standard office equipment - Continuous Responding quickly to sounds
Occasional Sitting
Continuous Standing
Occasional Walking
Occasional Moving safely in confined spaces
Occasional Lifting/Carrying (under 25 lbs.)
Occasional Lifting/Carrying (over 25 lbs.)
Never Squatting
Occasional Bending
Occasional Kneeling
Never Crawling
Never Climbing
Never Reaching overhead
Never Reaching forward
Occasional Pushing
Never Pulling
Never Twisting
Never Concentrating for long periods of time
Continuous Applying common sense to deal with problems involving standardized situations
Continuous Reading, writing and comprehending instructions
Continuous Adding, subtracting, multiplying and dividing
Continuous The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes. 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. Our Total Rewards Package: Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans
Work Location: Bernardsville, New Jersey, United States of America Hours: 40 Pay Details: $270,000 - $350,000 USD TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs. As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role. Line of Business: TD Wealth Job Description: Depth & Scope: Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required Develops and executes a comprehensive strategy to optimize end-to-end procedures associated with Investment platforms, ensuring alignment with regulatory requirements and business goals Identifies inefficiencies, control gaps, and opportunities for automation and standardization, driving scalable solutions across U.S. Wealth Simplifies advisor-facing processes to minimize administrative burdens and improve advisor productivity Redesigns client-facing workflows (e.g., onboarding, portfolio management, account administration) to enhance client satisfaction and engagement Works closely with National Sales and Distribution teams to implement solutions that reduce re-work and improve advisor and client experiences Leads effort to streamline back-office operations including trade processing and settlement, payment processing, client onboarding and transaction processing Identifies and addresses control gaps in operational workflows, implementing robust safeguards to mitigate risk and improve accuracy Oversees the enhancements and integration of U.S. Wealth investment platforms such as Pershing, Envestnet, FIS TrustDesk, and Salesforce Ensures platform upgrades and releases align with advisor and client needs while driving operational excellence Maintains a detailed understanding of FINRA and SEC regulations, ensuring all operational workflows comply with regulatory requirements Acts as a trusted advisor to the U.S. Wealth executive team, providing actionable insights on process optimization and platform enhancements Leads the adoption of advanced technologies such as robotic process automation (RPA), artificial intelligence (AI), and business intelligence tools to modernize the U.S. Wealth operating model Education & Experience: Bachelor's degree and progressive work experience 15+ years of related experience 7+ years of extensive wealth management, controls, processes enhancements, investment platform, and wealth products experience required Series 7, 24, 63 and 65 (or equivalent) FINRA Registrations Exceptional problem solving and analytical skills (issue identification, problem structuring, process redesign, analysis, development of actional recommendations) and conceptual thinking abilities Strong understanding of and experience in implementing large scale and complex programs/projects; proven ability to work effectively with teams and individuals Strong understanding of and experience with industry-leading investment platform vendors (i.e., Envestnet, Pershing, etc.) Excellent communication skills, both written and verbal Advanced facilitation and influence management skills Proven ability to develop good business relationships with internal and external partners Able to work in an unstructured and fast paced environment OCC: This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered position under FINRA. Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to investigate the good character, business reputation, qualifications and experience of an applicant for registration before applying to register the applicant with FINRA and filing the applicant's Form U4 with the CRD, and before representing on the applicant's Form U4 that it has conducted this investigation and verified the accuracy and completeness of the information contained in the applicant's Form U4; and the Firm's obligation to verify the accuracy and completeness of the information contained on the applicant's Form U4, no later than 30 calendar days after the Form U4 is filed with FINRA. Satisfactory results on a criminal background check, credit report check, civil litigation search, and regulatory agency or self-regulatory organization enforcement action search, and statements/certification from job applicant regarding administrative, civil, and/or criminal findings by any government agency/authority or self-regulatory organization, are required by federal law for this position. Physical Requirements: Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100% Domestic Travel
Occasional International Travel
Occasional Performing sedentary work
Continuous Performing multiple tasks
Continuous Operating standard office equipment - Continuous Responding quickly to sounds
Occasional Sitting
Continuous Standing
Occasional Walking
Occasional Moving safely in confined spaces
Occasional Lifting/Carrying (under 25 lbs.)
Occasional Lifting/Carrying (over 25 lbs.)
Never Squatting
Occasional Bending
Occasional Kneeling
Never Crawling
Never Climbing
Never Reaching overhead
Never Reaching forward
Occasional Pushing
Never Pulling
Never Twisting
Never Concentrating for long periods of time
Continuous Applying common sense to deal with problems involving standardized situations
Continuous Reading, writing and comprehending instructions
Continuous Adding, subtracting, multiplying and dividing
Continuous The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes. 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. Our Total Rewards Package: Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans