Manager, Portfolio Management Oversight

TD Bank; Toronto; On-site; CAD 97,000 - 137,000; Full time

Job summary

TD Bank is seeking a Portfolio Management Oversight professional to lead monthly reviews and ensure alignment with client Investment Policy Statements and regulatory obligations. You will coordinate remediation actions, provide guidance to portfolio managers, and report key findings to senior management.

The role emphasizes strong communication, problem solving, and collaboration with Investment Advisors and Portfolio Managers within a fast-paced financial services environment.

Qualifications

• Superior oral and written communication skills.
• Progressive experience in the financial services industry.
• Solid presentation skills.
• Field experience dealing directly with clients, Investment Advisors and Portfolio Managers.

Responsibilities

• Lead monthly and quarterly oversight reviews for Portfolio Managers and managed accounts.
• Assess materiality of issues, escalate, and coordinate remediation actions.
• Serve as primary oversight contact and provide guidance on program and regulatory requirements.
• Analyze oversight results and report to senior management and PWM Review Committee.
• Monitor Investment Policy Statement renewal and document exceptions.

Skills

Superior communication

Problem solving

MS Office Excel

Stakeholder collaboration

Multi-tasking

Attention to detail

Financial services experience

Presentation skills

Client/Portfolio exposure

Education

University degree in business or related

CFA Charterholder / CIM designation

CIRO licensing eligibility

Wealth management / supervision experience

Tools

MS Office Excel

Job description

Work Location:

Toronto, Ontario, Canada

Hours:

37.5

Line of Business:

TD General

Pay Details:

$96,900 - $136,800 CAD

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.

Job Description:

Department Overview:

The Portfolio Management Oversight Team provides independent regulatory and business oversight of the TD Privately Managed Portfolios program. The team monitors managed accounts for alignment with client Investment Policy Statements, program requirements, internal policies, and applicable regulatory obligations, and coordinates the identification, escalation, and remediation of issues.

Job Description / Accountabilities:

• Lead monthly and quarterly oversight reviews for assigned Portfolio Managers, Associate Portfolio Managers, and managed-account households to assess alignment with clients' Investment Policy Statements, program investment guidelines, internal policies, and applicable regulatory requirements.
• Assess the materiality of identified issues, initiate escalation in accordance with established protocols, assign or coordinate remediation actions, and monitor items through sustainable closure.
• Serve as the primary oversight contact for assigned discretionary Portfolio Managers and Associate Portfolio Managers, providing guidance, constructive challenge, and interpretation of program and regulatory requirements.
• Analyze oversight results to identify material exceptions, recurring issues, control weaknesses, concentration risks, and emerging trends; prepare clear reporting and recommended actions for senior management and the Portfolio Management Review Committee.
• Monitor the timely review and renewal of Investment Policy Statements, identify overdue or deficient documentation, and elevate exceptions in accordance with business policy and regulatory requirements.
• Coordinate responses to Internal Audit and external assurance requests, including evidence collection, management responses, issue follow-up, and validation of remediation status, in partnership with the Senior Manager and Supervising Portfolio Manager.
• Contribute to PWM Business Controls initiatives, including regulatory change implementation, control enhancements, policy and procedure updates, issue remediation, and special reviews.

Qualifications / Skills / Experience:

• Superior oral and written communication skills
• Strong problem-solving and decision-making skills with ability to effectively communicate with senior managers and executives.
• Strong Proficiency in MS Office Excel.
• Demonstrated ability to build strong collaborative business relationships.
• Well organized, and able to execute well in a multi-task environment
• Very detailed conscious and very accurate
• Progressive experience in the financial services industry.
• Solid presentation skills.
• Field experience dealing directly with clients, Investment Advisors and Portfolio Managers.

Specific Educational Requirements / Accreditations:

Required

• University degree in business or a related discipline.
• CFA Charterholder, progress toward the CFA designation, or CIM designation.
• Required proficiency and eligibility to meet applicable CIRO supervisory licensing requirements.
• Relevant experience in wealth management, managed accounts, supervision, compliance, risk, or business controls.

Preferred

• Licensed, or eligible to become licensed, as a Supervising Portfolio Manager.
• Experience working directly with clients, Investment Advisors or Portfolio Managers.

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 strive to make every interaction, product, and experience remarkably human and refreshingly simple for 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 foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, n