Domenica Filleti

• responsible for executing against a broad range of surveillance and regulatory activities including select Tier 1 supervision accountabilities for PIA branches. As a regulatory subject matter expert, accountable for addressing regulatory and compliance related matters, with particular focus on requirements of Canadian Investment Regulatory Organization of Canada (CIRO), Anti-Money Laundering and Anti-Terrorist Financing (AML/ATF) regulations, and Canada’s Privacy Act.

Department Overview

The Wealth Governance & Control (Wealth G&C) team is responsible for managing the overall risk management and governance portfolio for TD Wealth. The team is responsible for ensuring timely and consistent implementation – across all Wealth businesses – of all risk, control and governance programs, initiatives, policies and standards.

• In partnership with the Branch Manager, responsible for effectively managing all administrative aspects of the branch operations
• Responsible for hiring, managing and supervision of non-commissioned branch staff, including to lead, coach and train
• Responsible for the operation and administrative support to the branch and Investment Advisors, adherence to compliance and audit requirements

• Responsible for supporting the lead Investment Advisor (IA) by acting on their behalf through the delivery of advice and planning support, client management and business development
• Proactively responsible for servicing clients and address investment related questions, provide quotes and execute trading orders
• Ensured compliance with all regulatory requirements when executing trades and managing client accounts.
• Stay abreast of financial markets