Financial Services Professional

22 hours ago

Newton MA USA, United States TD Bank Group Full time
Job Summary:

The Transitional Financial Advisor (TFA) role is a three-year program designed for financial advisors or planners who will be providing financial planning guidance and selling investment management solutions. As a TFA, you will leverage your experience to 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.

Key Responsibilities:

  • Provide financial planning guidance and sell investment management solutions to clients in the MA segment
  • Identify and review client financial goals and make investment recommendations aligned to their goals
  • Develop and maintain relationships with clients to achieve greater share of wallet
  • Ensure all new clients receive a comprehensive on-boarding experience, including a thorough client discovery, completion of a financial needs analysis, and completion of all requisite client documents
  • Partner and promote lead generation to drive business growth
  • Manage goals, prioritize tasks, and work in a fast-paced environment
  • Ensure all new and existing clients receive an Annual Client Review (ACR) meeting with an enhanced agenda focused on the client's overall wealth needs
  • Serve as the primary point of contact for TD Wealth client relationships for the MA segment
  • Implement and execute a differentiated service model/experience for MA clients
  • Meet quarterly and annual sales goals
  • 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
  • Responsible for understanding and adhering 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
  • Uncovers client's asset and transitions higher threshold clients to appropriate HNW Wealth partners as needed
  • Responsible for fostering and contributing to a positive and constructive work environment with a focus on supporting the overall Wealth team
  • Provides coaching, Wealth referral training, and 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 and providing financial planning with a track record of success
  • In-depth knowledge of investment products and services
  • Series 65 or 66 required
  • Series 7 or ability to obtain within 90 days
  • 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
  • Driver's License required in select territories based on geographical coverage
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 contributes 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 learns 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
  • 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
Who We Are:

TD is one of the world's 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 95,000 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 you've 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, we're here to support you towards your goals. As an organization, we keep growing - and so will you.

Our Total Rewards Package:

Our 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 more

Additional Information:
We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development:
If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll 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 we're committed to helping you identify opportunities that support your goals.

Training & Onboarding:
We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role.

Interview Process:
We'll 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.

Accommodation:

If you are an applicant with a disability and need accommodations to complete the application process, email the 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 application process.

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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