Financial Advisor Support Specialist at TD Bank

Work Location:Greenville South Carolina United States of AmericaHours:40Pay Details:$49920 - $69680 USDTD 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 candidates 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 WealthJob Description: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.Depth & Scope:Demonstrates a commitment to being customer-centric by ensuring a legendary service is provided during every customer interaction to maximize retention and growthEnsures 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 documentsMay 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 transfersExecutes in a manner that is compliant with regulations policies and proceduresAdheres 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 attainedResponsible for understanding and adhering to TD Wealth AML/ATF Policies and ProceduresResponsible for implementing TDs 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 proceduresContributes to a positive and constructive work environment with a focus on supporting the overall Wealth teamContributes individually and as a team member to ensure strong performance collaboration and enthusiasm that sets TD Wealth apart from our competitorsRepresents TD Wealth to the public in a professional mannerBe 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 principlesThrough proactive communication (verbal/written) supports the assigned team members in meeting service commitments to clientsProvides consistent and accurate administrative support to assigned team member including filing report generation presentation material written proposals and spreadsheet reportingMay act as a contact for client relationships with regards to account maintenance portfolio information and cash transfersEfficiently manages and promptly responds to all incoming enquiries/requests for information independently/or directs to appropriate person or areaDelivers operational excellenceCompletes all applicable specialized trainingWorks independently with minimal supervisionPerforms 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 specializationMaintains various databases and computer systems by entering transactional and other data updating information as necessary and ensuring data accuracy; creates reports summarizing information as requiredCoordinates information flow among internal departments Clients and others as necessary communicating procedural and administrative information; forwards and obtains required documents and information as requiredMay resolve more difficult Client issues problems and requestsGuides and directs others as necessary; acts as a specialist resource to support all wealth management areasKeeps others on the team informed about status of account administration retention and projectsl Completes assigned administrative/Client service tasks within policy and operating proceduresIdentifies opportunities to make referrals to internal business partnersIdentifies and recommends technological/process improvements which may improve overall productivity and Client satisfactionEducation & Experience:Associate degree and/or bachelors degree2 years of related experience (preferably in the financial industry)A minimum of SIE & Series 99 registration is required; (or ability to obtain within Licensing & Registration Schedule)Knowledge of investments banking and credit products preferredA self-starter; ability to work with minimal supervisionAbility to excel at administration and be exceptionally well organizedDemonstrates considerable initiative in providing a high level of organizationExperience in professional services and with working with affluent clients is requiredKnowledge of MSWord Excel PowerPoint and working with Contact Management databases is essentialPossesses 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 roleDemonstrates ability to manage multiple responsibilities and timelinesProven track record of delivering results and executing with excellenceExcellent written and verbal communication skillsCriminal and financial background investigation is required pursuant to FINRA Rule 3110(e) and successor regulations and financial background investigation is required pursuant to FINRA Rule 3010(e) and successor regulationsOCC Language: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 FINRAMust be eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e) including: the Firms 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 applicants Form U4 with the CRD and before representing on the applicants Form U4 that it has conducted this investigation and verified the accuracy and completeness of the information contained in the applicants Form U4; and the Firms obligation to verify the accuracy and completeness of the information contained on the applicants Form U4 no later than 30 calendar days after the Form U4 is filed with FINRASatisfactory 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 positionPhysical Requirements:Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%Domestic Travel OccasionalInternational Travel NeverPerforming sedentary work ContinuousPerforming multiple tasks ContinuousOperating standard office equipment - ContinuousResponding quickly to sounds OccasionalSitting ContinuousStanding OccasionalWalking OccasionalMoving safely in confined spaces OccasionalLifting/Carrying (under 25 lbs.) OccasionalLifting/Carrying (over 25 lbs.) NeverSquatting OccasionalBending OccasionalKneeling NeverCrawling NeverClimbing NeverReaching overhead NeverReaching forward OccasionalPushing NeverPulling NeverTwisting NeverConcentrating for long periods of time ContinuousApplying common sense to deal with problems involving standardized situations ContinuousReading writing and comprehending instructions ContinuousAdding subtracting multiplying and dividing ContinuousThe 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 worlds 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 95000 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 youve 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 were here to support you towards your goals. As an organization we keep growing and so will you.Our Total Rewards PackageOur 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 such as health and well-being benefits savings and retirement programs paid time off (including Vacation PTO Flex PTO and Holiday PTO) banking benefits and discounts career development and reward and recognition. Learn moreAdditional Information:Were delighted that youre considering building a career with TD. Through regular development conversations training programs and a competitive benefits plan were committed to providing the support our colleagues need to thrive both at work and at home.Colleague Development If youre interested in a specific career path or are looking to build certain skills we want to help you succeed. Youll have regular career development and performance conversations with your manager as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience or you want to coach and inspire your colleagues there are many different career paths within our organization at TD and were committed to helping you identify opportunities that support your goals.Training & OnboardingWe will provide training and onboarding sessions to ensure that youve got everything you need to succeed in your new role.Interview Process Well reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.AccommodationTD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race color religion sex sexual orientation gender identity national origin age disability status as a protected veteran or any other characteristic protected under applicable federal state or local law.If you are an applicant with a disability and need accommodations to complete the application process please email TD Bank US Workplace Accommodations Program at . Include your full name best way to reach you and the accommodation needed to assist you with the applicant process.Required Experience:IC Key Skills Business Development,Estate Law,Sales Experience,Trusts,Wealth Management,Financial Services,Investment Experience,Military Experience,Securities Law,Customer relationship management,Financial Planning,Wills Employment Type : Full-Time Experience: years Vacancy: 1 Monthly Salary Salary: 49920 - 69680