• Location: Remote-Work from Home
  • Deadline: July 10, 2021

Investment Advisors



Company Overview

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Department Overview

TD Wealth Private Investment Advice (PIA) is a premier full-service brokerage and investment management business with an unwavering focus on becoming the leading, most respected Wealth Management Advisory business in Canada, fulfilling the comprehensive needs of mass affluent and high net worth clients with world-class advice and legendary client experiences.

The Field Representation and Service Transformation (FRST) team within PIA National Office is looking for highly motivated, results-driven individuals to join our team. As a Centralized Client Service Associate (CCSA) you will provide best-in-class sales and service support to Investment Advisors and their clients through phone-based and digital platforms. The CCSA is an extension of the PIA branches they support. Through proactive support and operational excellence, the team continually adds value to Investment Advisors’ practices by allowing them to focus on deepening client relationships and growing our business.

Job Description

The Centralized Client Service Associate (CCSA) is responsible for delivering exceptional service to Investment Advisors and their clients, ensuring compliance to regulatory and business policies and requirements. Reporting to the Centralized Manager, Client Service (CMCS), the CCSA contributes to the achievement of business goals through efficient, accurate and timely fulfilment of IA and client requests. The CCSA is accountable for most aspects of client servicing including operational and administrative activities. The ability to meet and exceed IA and client expectations through complete ownership of one’s performance and results is key to success in this role.
The CCSA will strengthen relationships with the Investment Advisors they support by regularly communicating with and obtaining feedback. The CCSA will work towards meeting and exceeding targets set by Team FRST. Using strong communication, active listening and curiosity, the CCSA will leverage their knowledge, experience, peers and partners to proactively identify issues and resolve with minimal disruption to the IA’s practice and client experience.

Specific Responsibilities:

  • Respond to IA/client inquiries promptly and accurately, including timely follow up
  • Create a positive IA, client and business partner experience with every interaction and look for ways to contribute to the ongoing improvement of the business and client experience
  • Submit, and follow up on new account, transfer, material change and other documents to ensure completion, advising the IA or client as required
  • Investigate, resolve, and follow up on IA and client issues, providing viable solutions or options
  • Provide documents/information that effectively supports the needs of the IA, detailing IA action as appropriate
  • Proactively notify IAs of ongoing updates, Daily News Postings, policy changes, etc. that may affect their practice or daily routines
  • Contribute to the timely and accurate completion of new account openings, money movement, iForms, and other administrative and transactional requests
  • Develop and foster strong productive relationships with the IAs, their clients and partners (e.g. Operations teams, Governance & Control, etc)
  • Assist IAs in daily business activities efficiently and effectively to ensure a legendary client experience while adhering to policies and procedures
  • Be the number one resource for the Investment Advisor
  • Effectively manage IA expectations through strong verbal and written communication skills
  • Take ownership of all transactions, ensuring account maintenance, operations and escalations are processed in a timely and satisfactory manner
  • Assist clients with inquiries and requests and proactively contact clients for appointment booking, seasonal opportunities and statement reviews acting as an extension of the Investment Advisor’s practice
  • Provide the IA with sales support by identifying net asset growth and revenue opportunities


  • Act as a brand champion for Team FRST, PWM and TDBG, both internally and externally
  • Be knowledgeable of practices, policies and procedures, complying with TDBG & IIROC codes of conduct and securities laws and regulations
  • Supervise day-to-day operations / activities, balance workloads, ensure compliance to internal / external requirements and the achievement of service level standards and productivity targets Maintain a culture of risk management and control, identifying risks and escalating matters when appropriate
  • Resolve escalated matters and refer complex issues / situations beyond own level of expertise
  • Ensure adherence to operating standards and processes – perform quality checks and validation of work
  • Review and/or update procedures ensuring all functions and processes are well documented
  • Monitor service, productivity and assess efficiency levels within own function and implement continuous process / performance improvements where opportunities exists
  • Identify operational issues and recommend improvements, may provide support during implementation of new process changes
  • Apply knowledge of systems, programs and services, and external requirements, in achieving efficiency and productivity objectives for the group
  • Ensure that employees are aware of the impact of their work on the activities of others outside of their function/unit
  • Participate fully as a member of the team, providing support to peers by serving as a resource and providing timely communication of issues/ points of interest
  • Promote a positive work environment and culture of innovation, teamwork, diversity and performance
  • Support the team by continuously enhancing knowledge/expertise, participate in knowledge transfer and proactively identifying opportunities for improvement within the department, participating in department initiatives and projects
  • Keep others informed and up-to-date about the status/progress of projects and/or all relevant or useful information related to day-to-day activities. Sharing of information with CSAs across the country when appropriate (via PIA CSA Report)
  • Own and actively participate in personal development activities and initiatives
  • Proactively offer support and coverage for the larger FRST team
  • Contribute to a fair, positive and equitable environment that supports a diverse workforce
  • Actively participate in Bank sponsored community activities
  • Promote a positive image of TD and Private Wealth Management as “One TD” within the community

Additional Information

  • IIROC licensing (RR) is/will be required
  • Proven client service skills
  • Must be able to work well independently and as a part of a larger team
  • Possess strong judgment and problem-solving skills
  • Excellent oral, written, interpersonal and relationship building skills
  • Use impact and influence skills to guide others to a desired conclusion and have the ability to hold them accountable
  • The ability to change direction quickly and effectively is essential
  • The ability to work in a fast-paced environment is critical to success
  • Flexibility and change leadership skills are required
  • Proven organizational, multitasking and time-management skills are required
  • A solid understanding of sales practices and business operations is critical to success
  • Knowledge of FP and PIA products, systems, and procedures
  • Strong organizational awareness
  • Understanding of Private Investment Advice business; securities industry regulations, procedures and legal framework

These are Remote Roles working from home. If you are IIROC Licensed or have your Canadian Securities Course please apply to requisition 310180BR.




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.