Private Client Specialist I

4 weeks ago

Melville, New York, United States TD Bank Group Full time
Job Summary

The Private Client Specialist I is a key role within TD Wealth, responsible for providing exceptional support to Relationship Managers and Investment Advisors in serving high-net-worth clients. This position involves the onboarding process for new clients, focusing on timely and accurate initiation, transfers, and communication about new account openings and fundings. The successful candidate will participate in basic financial planning discussions and client relationship reviews, supporting other team members and providing consistent and accurate administrative, analytical, and service support.

Key Responsibilities
  • Ensure a legendary customer experience is provided during every interaction to maximize retention and growth.
  • Execute tasks on required platforms (Private Banking, Investments and Trusts) under supervision.
  • Handle complex financial transactions where products and services are highly competitive.
  • Utilize financial planning software to provide expert support.
  • Act as a subject matter expert to the Sales Support team.
  • Coordinate with Relationship Managers to ensure a complete onboarding experience for new clients, including thorough client discovery, introduction to the IA and TA as per client need, and completion of all requisite client profiling documents.
  • Assist in deepening wallet share by anticipating client needs and suggesting the most appropriate banking, lending, and/or investment solutions, maximizing profitability while ensuring an exceptional client experience.
  • Leverage and coordinate specialists (Taxes, Trust and Estate) to provide interdisciplinary expertise for complex clients.
  • May act as primary contact for client relationships regarding portfolio information and basic financial planning.
  • May resolve more difficult client issues, problems, and requests.
  • Identify opportunities within the portfolio to seek ways to Retail, Commercial, and other Wealth Partners.
  • Execute in a manner that is compliant with regulations, policies, and procedures.
  • Adhere to all federal, state, SRO regulations, and Firm policies related to all business activities (e.g., OCC, SEC, FINRA, etc.); ensure all Continuing Education requirements are attained.
  • Responsible for understanding and adhering to TD Wealth FCRM/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 FCRM procedures.
  • Contribute individually and as a team member to ensure strong performance, collaboration, and enthusiasm that sets TD Wealth apart from competitors.
  • Represent TD Wealth to the public in a professional manner.
  • Involved in community initiatives and supports TDBG charity and community initiatives.
  • Ensure service to external clients and/or internal clients reflects TDBG standards and guiding principles.
  • Through proactive communication (verbal/written), support assigned team members in meeting service commitments to clients.
  • Provide consistent and accurate administrative support to assigned team members, including filing, report generation, presentation material, written proposals, and spreadsheet reporting.
  • Efficiently manage and promptly respond to all incoming inquiries/requests for information independently or direct to the appropriate person or area.
  • Complete all applicable specialized training.
  • Perform necessary duties to assist assigned team members with all aspects of account administration, retention, specialized services, and other responsibilities in accordance with wealth management area of specialization.
  • Maintain various databases and computer systems by entering transactional and other data, updating information as necessary, and ensuring data accuracy; create reports summarizing information as required.
  • Guide and direct others as necessary; act as a specialist resource to support all wealth management areas.
  • Keep others on the team informed about the status of account administration, retention, and projects.
  • Complete assigned administrative/Client service tasks within policy and operating procedures.
  • Identify and recommend technological/process improvements that may improve overall productivity and client satisfaction.
Requirements
  • Bachelor's degree preferred.
  • Internal candidates: 3+ years of experience working with TD's client platforms required.
  • Series 7, 63/65, or 66 registrations required. Candidates may be considered if they have at least one of the required registrations. If hired, the candidate will need to acquire all licensing within a defined period outlined at the time of hire.
  • 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.
  • Demonstrate considerable initiative in providing a high level of organization.
  • Experience in professional services and working with affluent clients is required. Knowledge of MS Word, Excel, PowerPoint, and working with Contact Management databases is essential.
  • Possess a reasonable knowledge of investments and can generate reports pertinent to the management of client investment portfolios; however, prefer to focus on administration in a support role.
  • Demonstrate 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 3010(e) and successor regulations.
Language
This position falls within the definition of Loan Originator as defined under Regulation Z of the Truth in Lending Act, 12 CFR Part ; and the definition of Mortgage Loan Originator as defined under the Secure and Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act), 12 U.S.C. §§ 5102 et seq., and its implementing regulations, 12 CFR Part 1007; and is with a FINRA member, broker, 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 with a covered financial institution under the standards established by Regulation Z of the Truth in Lending Act, 12 CFR Part . Must be eligible for registration as a registered mortgage loan originator with the NMLS (Nationwide Mortgage Licensing System and Registry) in accordance with the Secure and Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act), 12 U.S.C. §§ 5102 et seq., and its implementing regulations, 12 CFR Part 1007. 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, or criminal findings by any government agency/authority or self-regulatory organization, are required by federal law for this position.

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