Financial Advisor Support Specialist, Wealth - greenville, SC

Financial Advisor Support Specialist

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.

Depth & Scope:

• 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 others as necessary, communicating procedural and administrative information; forwards and obtains required documents and information as required
• May resolve more difficult Client issues, problems, and requests
• Guides and directs others as necessary; acts as a specialist resource to support all wealth management areas
• Keeps others on the team informed about status of account administration, retention and projects
• Completes assigned administrative/Client service tasks within policy and operating procedures
• Identifies opportunities to make referrals to internal business partners
• Identifies and recommends technological/process improvements which may improve overall productivity and Client satisfaction

Education & Experience:

• Associate degree and/or bachelor's degree
• 2+ years of related experience (preferably in the financial industry)
• A minimum of SIE & Series 99 registration is required; (or ability to obtain within Licensing & Registration Schedule)
• 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
• Demonstrates considerable initiative in providing a high level of organization
• Experience in professional services and with working with affluent clients is required
• Knowledge of MSWord, Excel, PowerPoint and working with Contact Management databases is essential
• Possesses a reasonable knowledge of investments and has the ability to generate reports pertinent to the management of client investment portfolios, however, prefers to focus on administration in a support role
• Demonstrates 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 3110(e) and successor regulations and financial background investigation is required pursuant to FINRA Rule 3010(e) and successor regulations

Physical Requirements:

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%

• Domestic Travel – Occasional
• International Travel – Never
• Performing sedentary work – Continuous
• Performing multiple tasks – Continuous
• Operating standard office equipment - Continuous
• Responding quickly to sounds – Occasional
• Sitting – Continuous
• Standing – Occasional
• Walking – Occasional
• Moving safely in confined spaces – Occasional
• Lifting/Carrying (under 25 lbs.) – Occasional
• Lifting/Carrying (over 25 lbs.) – Never
• Squatting – Occasional
• Bending – Occasional
• Kneeling – Never
• Crawling – Never
• Climbing – Never
• Reaching overhead – Never
• Reaching forward – Occasional
• Pushing – Never
• Pulling – Never
• Twisting – Never
• Concentrating for long periods of time – Continuous
• Applying common sense to deal with problems involving standardized situations – Continuous
• Reading, writing and comprehending instructions – Continuous
• Adding, subtracting, multiplying and dividing – Continuous

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.

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