Financial Planning Specialist

1 week ago

Forest Hills, New York, United States TD Bank Group Full time
Work Location:
United States of America

Hours:
40

Compensation Details:
$100,000 - $100,000 USD

TD is dedicated to ensuring fair and equitable compensation for all employees. The salary range for this position considers various factors that influence compensation decisions. The actual base pay offered may differ based on the candidate's expertise, experience, job-related knowledge, licenses, certifications, geographic location, and specific business needs. As part of our commitment to career development, it is uncommon for individuals to be hired at or near the top of the salary range for their role.

As a candidate, you are encouraged to engage in discussions regarding compensation with your recruiter, who can provide further insights into this role.

Line of Business:
TD Wealth
Job Overview:

The Transitional Financial Advisor (TFA) position is a structured three-year program designed for financial advisors or planners focused on selling investment management solutions and delivering financial planning advice.

A Transitional FA will utilize their experience to address the unique and intricate needs of clients in the Mass Affluent (MA) segment by identifying requirements, assessing financial objectives, and making investment recommendations that align with clients' aspirations. This role serves as the primary contact, responsible for delivering client service and nurturing relationships to enhance client engagement by assisting them in achieving their goals related to asset accumulation, preservation, growth, and protection.

Key Responsibilities:
  • Experience in selling investment products and providing comprehensive financial plans.
  • Demonstrates a strong commitment to customer-centric service by delivering exceptional experiences during every client interaction to maximize retention and growth.
  • Ensures all new clients undergo a complete onboarding process, which includes thorough client discovery, completion of a financial needs analysis for goals-based advice, introduction to the centralized client servicing team as required, and completion of all necessary client documentation.
  • Ability to collaborate and promote lead generation initiatives.
  • Effectively manages goals, prioritizes tasks, and thrives in a fast-paced environment.
  • Ensures all new and existing clients receive a tailored MA Planning Experience.
  • Implements a structured process to guarantee every client receives an Annual Client Review (ACR) meeting with a comprehensive agenda focused on the client's overall wealth needs, along with proactive outreach.
  • Acts as the primary liaison for TD Wealth client relationships within the MA segment; oversees all aspects of client relationships with TD Bank and refers to Retail and Wealth partners as necessary.
  • Implements and executes a distinctive service model/experience for MA clients.
  • Achieves quarterly and annual sales targets.
  • Enhances wallet share by anticipating client needs and recommending the most suitable Wealth solutions, ensuring profitability while delivering an exceptional client experience.
  • Identifies opportunities within your portfolio and network to refer business to Retail and Small Business/Commercial Partners.
  • Conducts all activities in a thorough manner compliant with regulations, policies, and procedures.
  • Adheres to all federal, state, SRO regulations, and Firm policies related to business activities.
  • Ensures all Continuing Education requirements are met.
  • Responsible for understanding and adhering to TD Bank & TD Wealth Policies and Procedures.
  • Implements 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.
  • Identifies clients' assets and transitions higher threshold clients to appropriate HNW Wealth partners as necessary.
  • Contributes to a positive and constructive work environment with a focus on supporting the overall Wealth team.
  • Provides coaching, Wealth referral training, and ongoing feedback to Retail and Small Business staff.
  • Contributes individually, as a team member, and as a mentor to new FAs, ensuring strong performance, collaboration, and enthusiasm.
  • Represents TD Wealth to the public in a professional manner.
  • Engages in community involvement and supports TD Bank Group charity and community initiatives.
Qualifications:
  • 4-year degree required or equivalent work experience.
  • 2+ years of experience in selling investments and providing financial planning with a proven track record of success.
  • Comprehensive knowledge of investment products and services.
  • Series 65 license required.
  • Life and Health insurance licenses required, or ability to obtain within the licensing and registration schedule.
  • Advanced understanding of wealth management business development techniques, products, services, and overall industry.
  • Proven ability to meet sales objectives.
  • Proficient in retail and small business banking.
  • Demonstrated ability to build relationships and collaborate effectively with other departments within TD Bank.
  • Willingness to travel within the assigned market to meet prospects, clients, and partners.
  • Driver's License required.
Customer Commitment:
  • Understands and supports the Bank's Customer Service Strategy.
  • Considers the impact of decisions on the well-being of TD, its customers, and stakeholders.
  • Delivers the highest level of customer service when interacting with internal partners, vendors, or customers.
  • Models quality service delivery at every interaction.
  • Leads and contributes to the ongoing enhancement of the partner/customer experience.
Team Engagement:
  • Engages in fostering and sustaining a unique, inclusive culture that reflects TD's diversity agenda and creates an extraordinary employee experience.
  • Participates fully as a team member and contributes to a positive work environment.
  • May provide leadership, training, and guidance to other team members.
  • Ensures ongoing communication with the team regarding project status and issues of interest.
  • Actively shares information and knowledge, and learns from the expertise of others.
Compliance:
  • 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.
  • Satisfactory results on a criminal background check, credit report check, civil litigation search, and regulatory agency or self-regulatory organization enforcement action search are required by federal law for this position.
About TD:
TD is among the world's leading global financial institutions and ranks as the fifth largest bank in North America by branches. Every day, we deliver exceptional customer experiences to millions of households and businesses across Canada, the United States, and globally. With over 95,000 TD colleagues, we bring our skills, talent, and creativity to the Bank, our customers, and the economies we support. Our vision is to be the Better Bank, and our purpose is to enrich the lives of our customers, communities, and colleagues.

TD is committed to being a leader in customer experience, which is why we believe that all colleagues, regardless of their role, are customer-facing. As we develop our business and execute our strategy, we are innovating to enhance customer experiences and build capabilities for the future of banking. Whether you have extensive banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations, mentorship, and training programs, we support you in achieving your goals. As an organization, we continue to grow - and so will you.

Our Total Rewards Package:

Our Total Rewards package reflects our investment 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, along with several key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and recognition programs.

Additional Information:
We appreciate your interest in building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we are committed to providing the support our colleagues need to thrive both professionally and personally.

Colleague Development:
If you are interested in a specific career path or wish to develop certain skills, we are here to help you succeed. You will have regular career and performance discussions with your manager, as well as access to an online learning platform and various mentoring programs to help you unlock future opportunities. Whether you are passionate about assisting customers or want to inspire and coach your colleagues, there are numerous career paths within TD, and we are dedicated to helping you identify opportunities that align with your goals.

Training & Onboarding:
We will provide comprehensive training and onboarding sessions to ensure you have everything you need to excel in your new role.

Interview Process:
We will reach out to candidates of interest to schedule interviews and strive to communicate outcomes to all applicants promptly.

Accommodation:
If you are an applicant with a disability and require accommodations to complete the application process, please reach out to the appropriate program.

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

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