Financial Advisor Support Specialist

Overview

Work Location: Greenville, South Carolina, United States of America

Hours: 40

Pay Details: $49,920 - $69,680 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience  compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

Line Of Business: TD Wealth

Job Description: The Financial Advisor Support Specialist acts as a point of client contact accountable to serve the needs of clients in the mass affluent segment. The role serves as the primary administrative and service support for the Financial Advisors (FAs) and their clients. The Financial Advisor Support Specialist supports the FA team and provides consistent and accurate administrative and service support.

• Demonstrates a commitment to being customer-centric by ensuring a legendary service is provided during every customer interaction to maximize retention and growth
• Ensures all NEW clients receive the complete on-boarding experience, which includes: a thorough client discovery leading to a truly exceptional Client Experience, completion of all requisite client profiling documents
• May handle financial transactions such as, but not limited to, the collection, maintenance, re-investment (i.e., sweeps) and disbursement of funds as well as account transfers
• 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 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
• 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 sets TD Wealth apart from our competitors
• Represents TD Wealth to the public in a professional manner
• Be involved in your community and support TDBG charity and community initiatives Ensures service to external clients and/or internal clients reflects TDBG standards and guiding principles
• Through proactive communication (verbal/written), supports the assigned team members in meeting service commitments to clients
• Provides consistent and accurate administrative support to assigned team member including filing, report generation, presentation material, written proposals and spreadsheet reporting
• May act as a contact for client relationships with regards to account maintenance, portfolio information and cash transfers
• Efficiently manages and promptly responds to all incoming enquiries/requests for information independently/or directs to appropriate person or area
• Delivers operational excellence
• Completes all applicable specialized training
• Works independently with minimal supervision
• Performs necessary duties to assist assigned team members with all aspects of account administration, retention, specialized services and other responsibilities in accordance within wealth management area of specialization
• Maintains various databases and computer systems by entering transactional and other data, updating information as necessary and ensuring data accuracy; creates reports summarizing information as required
• Coordinates information flow among internal departments, Clients and…