Associate Relationship Manager

4 weeks ago

New York, New York, United States TD Bank Group Full time
Job Description:

The Associate Private Client Relationship Manager is a high-touch point of client contact accountable for serving the unique and complex needs of clients in the high net worth segment with a focus on clients who maintain smaller balances with TD. The Associate Private Client Relationship Manager will serve as the central point of contact for HNW clients with lower balances and will work to deepen and broaden the existing relationship by providing excellent service, proactively contacting clients, delivering thought leadership across all capabilities at TD Wealth. A critical objective of the ARM will be to engage clients and when clients seek a deeper or broader relationship with TD, introduce the Private Client Relationship Manager that covers the Store most convenient for the client.

Key Responsibilities:
  • May work with less complex clients. May bring in subject matter experts earlier in the client relationship as needed
  • Ensures those existing clients, where it would add value, are provided with a Private Client Planning Experience
  • Effectively implements a process with CSAs to ensure every client receives Legendary service
  • Effectively executes a proactive outreach effort across all clients to enhance and expand the overall relationship
  • Leverages the availability of Specialists (Taxes, Trust and Estate) in an effort to interest the client in deepening their relationship with TD Wealth
  • Executes in a manner that is compliant with regulations, policies and procedures
  • Adheres 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 attained
  • Responsible for understanding and adhering to TD Wealth AML/ATF Policies and Procedures
  • Responsible 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 procedures
  • Contributes to a positive and constructive work environment with a focus on supporting the overall Wealth team
  • Contributes individually and as a team member, to ensure strong performance, collaboration and enthusiasm that set TD Wealth apart from our competitors
  • Represents TD Wealth to the general public in a professional manner
  • Is involved in Employee's community and support TDBG charity and community initiatives
Requirements:
  • 4-year degree or the equivalent experience
  • 3 years related experience in a production or client support capacity (i.e. track record of high client satisfaction and retention) required
  • Securities Licensed: Series 7, or 66
  • Understanding of HNW client needs and products and services available to clients within the segment
  • Consultative sales experience preferred
  • Ability to establish relationships and partner effectively with other departments within TD Wealth and TD Bank, America's Most Convenient Bank
  • Personalized customer service skills, including ability to work with wide variety of clients and provide an exceptional level of service
  • Self-motivated, able to work independently, as well as part of a team - working well with other team members and keeping all relevant individuals, including management, up to date in a timely manner
  • Excellent communication skills, both verbal and written
  • Proficiency in Microsoft Applications (PowerPoint, Excel, Word)
  • Membership in civic and professional organizations required after employment
  • Ability to multitask and manage competing priorities effectively
  • Ability to work within a highly collaborative team environment
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:
  • Be 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 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.
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 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 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. 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. We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role. 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. 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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