Financial Advisor

3 weeks ago

Wellesley, Massachusetts, United States TD Bank Full time
Job Description

The Transitional Financial Advisor role is a three-year program with a draw, designed for financial advisors or planners who will be selling investment management solutions and providing financial planning guidance.

Key Responsibilities
  • Service the unique and complex needs of clients in the Mass Affluent (MA) segment by identifying needs, reviewing financial goals, and making investment recommendations aligned to their client's goals.
  • Provide client service and develop relationships to achieve greater share of wallet by helping clients achieve their goals related to asset accumulation, preservation, growth, and protection.
  • Ensure all NEW clients receive the complete on-boarding experience, which includes a thorough client discovery, completion of a financial needs analysis to provide goals-based advice, an introduction to the centralized client servicing team as per client need, and completion of all requisite client documents.
  • Partner and promote lead generation, manage goals, prioritize tasks, and work in a fast-paced environment.
  • Implement a process to ensure every client receives an Annual Client Review (ACR) meeting with an enhanced agenda focused on the client's overall wealth needs, as well as pro-active contacts.
  • Serve as the primary point of contact for TD Wealth client relationships for MA segment, manage all aspects of the client's relationships with TD Bank, and refer to Retail and Wealth partners & affiliates as needed.
  • Implement and execute a differentiated service model/experience for MA clients, meet quarterly and annual sales goals, and deepen wallet share by anticipating client needs and suggesting the most appropriate Wealth solutions.
  • Identify opportunities within your portfolio and network to refer business to Retail and Small Business/Commercial Partners, execute in a thorough manner that is compliant with regulations, policies, and procedures.
  • Adhere to all federal, state, SRO regulations and Firm policies related to all business activities, ensure all Continuing Education requirements are attained, and understand and adhere to TD Bank & TD Wealth 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.
  • Uncovers client's asset and transitions higher threshold clients to appropriate HNW Wealth partners as needed, foster and contribute to a positive and constructive work environment with a focus on supporting the overall Wealth team.
  • Provides coaching, Wealth referral training & on-going feedback to Retail and Small Business staff, contributes individually, as a team member, and as a mentor to new FAs, to ensure strong performance, collaboration, and enthusiasm.
  • Represents TD Wealth to the general public in a professional manner, is involved in the community, and supports TDBG charity and community initiatives.
Requirements
  • 4-year degree required or equivalent work experience.
  • 2+ years of selling investments & providing financial planning with a track record of success.
  • In-depth knowledge of investment products and services.
  • Series 65 required.
  • Life and Health insurance licenses required, or ability to obtain within licensing and registration schedule.
  • Advanced understanding of wealth management business development techniques, products, services, and overall industry.
  • Proven ability to achieve sales goals.
  • Proficient with retail and small business banking.
  • Proven ability to establish relationships and partner effectively with other departments within TD Bank, America's Most Convenient Bank.
  • Ability to travel within assigned Market to meet prospects, clients, and partners; up to% of time.
  • Driver's License required.
Customer Accountabilities
  • Understands and supports the Bank's Customer Service Strategy.
  • Considers the impact of decisions on the well-being of TD, its Customers, and stakeholders.
  • Provides the highest level of Customer service when dealing with internal partners, vendors, or our Customers - WOW at every opportunity.
  • Models quality service delivery at every interaction.
  • Leads and contributes to the ongoing improvement of the partner/Customer experience.
Employee/Team Accountabilities
  • Is engaged in advancing and sustaining a unique, inclusive culture that reflects TD's diversity agenda, and create an extraordinary employee experience.
  • Participates fully as a member of the team and contribute to a positive work environment.
  • May provide leadership, training, and guidance to other team members.
  • Ensures ongoing communication with the team on the status/progress of projects and issues/points of interest.
  • Actively shares information and knowledge, and proactively learn from the expertise of others.
OCC
  • This position is with a FINRA member, broker, and/or dealer and is subject to the requirements of FINRA and Securities Laws.
  • 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.
Physical Requirements
  • Domestic Travel - Continuous.
  • International Travel - Never.
  • Performing sedentary work - Continuous.
  • Performing multiple tasks - Continuous.
  • Operating standard office equipment - Continuous.
  • Responding quickly to sounds - Occasional.
  • Sitting - Continuous.
  • Standing - Occasional.
  • Walking - Occasional.
  • Moving safely in confined spaces - Occasional.
  • Lifting/Carrying (under 25 lbs.) - Occasional.
  • Lifting/Carrying (over 25 lbs.) - Occasional.
  • Squatting - Occasional.
  • Bending - Occasional.
  • Kneeling - Occasional.
  • Crawling - Occasional.
  • Climbing - Never.
  • Reaching overhead - Occasional.
  • Reaching forward - Occasional.
  • Pushing - Occasional.
  • Pulling - Occasional.
  • Twisting - Occasional.
  • Concentrating for long periods of time - Continuous.
  • Applying common sense to deal with problems involving standardized situations - Continuous.
  • Reading, writing, and comprehending instructions - Continuous.
  • Adding, subtracting, multiplying, and dividing - Continuous.

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