TD Bank Financial Advisor Support Specialist, Wealth in Greenville, South Carolina
Financial Advisor Support Specialist, Wealth
About TD Bank, America's Most Convenient Bank®
TD Bank, America's Most Convenient Bank, is one of the 10 largest banks in the U.S., providing more than 8 million customers with a full range of retail, small business and commercial banking products and services at approximately 1,300 convenient locations throughout the Northeast, Mid-Atlantic, Metro D.C., the Carolinas and Florida. In addition, TD Bank and its subsidiaries offer customized private banking and wealth management services through TD Wealth®, and vehicle financing and dealer commercial services through TD Auto Finance. TD Bank is headquartered in Cherry Hill, N.J. To learn more, visit www.tdbank.com. Find TD Bank on Facebook at www.facebook.com/TDBank and on Twitter at www.twitter.com/TDBank_US .
TD Bank, America's Most Convenient Bank, is a member of TD Bank Group and a subsidiary of The Toronto-Dominion Bank of Toronto, Canada, a top 10 financial services company in North America. The Toronto-Dominion Bank trades on the New York and Toronto stock exchanges under the ticker symbol "TD". To learn more, visit www.td.com .
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Demonstrates a commitment to being customer-centric by ensuring a legendary service is provided during every customer interaction to maximize retention and growth
Ensures all NEW clients receive the complete on-boarding experience, which includes: a thorough client discovery leading to a truly exceptional Client Experience, completion of all requisite client profiling documents
May handle financial transactions such as, but not limited to, the collection, maintenance, re-investment (i.e., sweeps) and disbursement of funds as well as account transfers
Executes in a manner that is compliant with regulations, policies and procedures
Adheres to all federal, state, SRO regulations and Firm policies related to all business activities. (e.g. OCC, SEC, FINRA etc.)
Ensures all Continuing Education requirements are attained
Responsible for understanding and adhering to TD Wealth AML/ATF Policies and Procedures
Responsible for implementing TD’s Customer Identification Program (CIP) by collecting and verifying required customer identification information and performing other Customer Due Diligence and Enhanced Due Diligence Requirements as outlined in the Business Unit AML procedures
Contributes to a positive and constructive work environment with a focus on supporting the overall Wealth team
Contributes individually and as a team member, to ensure strong performance, collaboration and enthusiasm that sets TD Wealth apart from our competitors
Represents TD Wealth to the public in a professional manner
Be involved in your community and support TDBG charity and community initiatives Ensures service to external clients and/or internal clients reflects TDBG standards and guiding principles
Through proactive communication (verbal/written), supports the assigned team members in meeting service commitments to clients
Provides consistent and accurate administrative support to assigned team member including filing, report generation, presentation material, written proposals and spreadsheet reporting
May act as a contact for client relationships with regards to account maintenance, portfolio information and cash transfers
Efficiently manages and promptly responds to all incoming enquiries/requests for information independently/or directs to appropriate person or area
Delivers operational excellence
Completes all applicable specialized training
Works independently with minimal supervision
Performs necessary duties to assist assigned team members with all aspects of account administration, retention, specialized services and other responsibilities in accordance within wealth management area of specialization
Maintains various databases and computer systems by entering transactional and other data, updating information as necessary and ensuring data accuracy; creates reports summarizing information as required
Coordinates information flow among internal departments, Clients and others as necessary, communicating procedural and administrative information; forwards and obtains required documents and information as required
May resolve more difficult Client issues, problems, and requests
Guides and directs others as necessary; acts as a specialist resource to support all wealth management areas
Keeps others on the team informed about status of account administration, retention and projects
l Completes assigned administrative/Client service tasks within policy and operating procedures
Identifies opportunities to make referrals to internal business partners
Identifies and recommends technological/process improvements which may improve overall productivity and Client satisfaction
- Must be eligible for employment under regulatory standards applicable to the position.
The Financial Advisor Support Specialist acts as a point of client contact accountable to serve the needs of clients in the mass affluent segment. The role serves as the primary administrative and service support for the Financial Advisors (FAs) and their clients.
The Financial Advisor Support Specialist supports the FA team and provides consistent and accurate administrative and service support.
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 in and serve, and creating an environment where every employee has the opportunity to reach their potential.
If you are a candidate with a disability and need an accommodation to complete the application process, email the TD Bank US Workplace Accommodations Program at USWAPTDO@td.com . Include your full name, best way to reach you, and the accommodation needed to assist you with the application process.
EOE/Minorities/Females/Veterans/Individuals with Disabilities/Sexual Orientation/Gender Identity.
Associate degree and/or bachelor's degree
2+ Years of related experience (preferably in the financial industry)
Securities Industry Essentials (SIE) exam and Series 99 registration required
Knowledge of investments, banking and credit products preferred
A self-starter, ability to work with minimal supervision
Ability to excel at administration and be exceptionally well organized
Demonstrates considerable initiative in providing a high level of organization
Experience in professional services and with working with affluent clients is required
Knowledge of MSWord, Excel, PowerPoint and working with Contact Management databases is essential
Possess a reasonable knowledge of investments and has the ability to generate reports pertinent to the management of client investment portfolios; however, prefers to focus on administration in a support role
Demonstrates ability to manage multiple responsibilities and timelines
Proven track record of delivering results and executing with excellence
Excellent written and verbal communication skills
Criminal and financial background investigation is required pursuant to FINRA Rule 3110(e) and successor regulations
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
Greenville Campus Building B - 200 Carolina Point Parkway
TD Bank AMCB
Job Category - Primary:
Wealth Advisory Services
Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.