JOB DESCRIPTION:

The Client Service Associate (CSA) provides a high level of dedicated sales and service support to TD Wealth Financial Planners by providing them with assistance in the three main CSA activities: progress review, client contact and business building. The CSA aims to provide a legendary experience at every client interaction. The CSA has a significant impact on the net asset growth, revenue, LEI and efficiency of the Financial Planners’ book of business.

Can you provide dedicated process support, legendary client experience and strategic special initiatives? If yes, then apply for Client Service Associate role. In this role, you will execute routine requests and provide centralized support to the department. In addition, you will:

• Respond to client inquiries promptly and accurately; proactively providing options and solutions.
• Assist clients with trade redemption requests acting as an extension of the Financial Planner’s business.
• Provide wealth operations and phone support to financial planners and their dedicated CSA’s all over Canada.
• Assist in the execution and settlement of trade transactions, including equities, mutual funds, GICs, ETFs, bonds, and other financial instruments.
• Submitting Bond redemption requests and CASE requests for Worthless securities.
• Place trades for Transfers Department when full or partial liquidation is required prior to transfer.
• Placing trades for estate liquidations (partial and full) as well as near cash security purchases while accounts are awaiting probate.
• Provide support to Planners, CSAs, ROs and our partners, for all general inquiries & escalations that may arise regarding FP accounts through working with multiple partners for a client resolution.
• Execute corrections and adjustments to trade transactions, ensuring accurate and timely updates to trade records and accounts.
• Submitting PISOs to MF Trade Correction Team to process the trade correction for transaction and fee-based accounts.
• Suspending and submitting TRAC Tickets to partners for trade correction in SMP accounts.
• Participate in the identification, development, and implementation of continuous improvement opportunities within TD Wealth.
• Be knowledgeable of practices and procedures within own area of responsibility and keep tabs on emerging trends.
• Participate fully as a member of the team, support a positive work environment, and ensure timely communication of issues.

JOB REQUIREMENTS:

• University / college diploma and/or minimum 2 years of industry experience
• Canadian Securities Course (CSC)
• Completion of Conduct and Practices Handbook (CPH) course within 6 months of start date
• Advanced knowledge of business, operations and regulatory environment
• Specialized expertise in performing diverse tasks that are highly complex, involving multiple steps, systems and jurisdictions
• Strong communication skills with ability to work collaboratively and independently, provide assistance and build relationships

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.

• Respond to client inquiries promptly and accurately; proactively providing options and solutions.
• Assist clients with trade redemption requests acting as an extension of the Financial Planner’s business.
• Provide wealth operations and phone support to financial planners and their dedicated CSA’s all over Canada.
• Assist in the execution and settlement of trade transactions, including equities, mutual funds, GICs, ETFs, bonds, and other financial instruments.
• Submitting Bond redemption requests and CASE requests for Worthless securities.
• Place trades for Transfers Department when full or partial liquidation is required prior to transfer.
• Placing trades for estate liquidations (partial and full) as well as near cash security purchases while accounts are awaiting probate.
• Provide support to Planners, CSAs, ROs and our partners, for all general inquiries & escalations that may arise regarding FP accounts through working with multiple partners for a client resolution.
• Execute corrections and adjustments to trade transactions, ensuring accurate and timely updates to trade records and accounts.
• Submitting PISOs to MF Trade Correction Team to process the trade correction for transaction and fee-based accounts.
• Suspending and submitting TRAC Tickets to partners for trade correction in SMP accounts.
• Participate in the identification, development, and implementation of continuous improvement opportunities within TD Wealth.
• Be knowledgeable of practices and procedures within own area of responsibility and keep tabs on emerging trends.
• Participate fully as a member of the team, support a positive work environment, and ensure timely communication of issues