JOB DESCRIPTION:
The Private Client Portfolio Advisor I is a role within the Centralized Investment Management team that partners with Trust Advisors & Relationship Managers to provide investment services to HNW clients. The Private Client Portfolio Advisor I will utilize technical investment expertise to provide comprehensive investment services and solutions to meet the needs of clients.
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
- Partners with Private Client Trust Advisors & Private Client Relationship Managers to ascertain investment needs of TD Wealth clients to increase wallet share
- May work with less complex clients
- Partners with Private Client Relationship Managers in support of securing new clients with potential investment needs
- May act as primary point of contact for legacy client relationships (i.e. Advisors legacy book of business)
- Contributes individually and as a team member, to ensure strong performance, collaboration and enthusiasm that set TD Private Client Wealth apart from our competitors
- Using TD Wealth’s comprehensive tool set, works with clients to develop and define their investment strategy, implements investment objectives and strategies for client base
- Provides support and information to all TD Wealth team members and partners with respect to investment solutions.
- Uses knowledge of Investment solutions and concepts to proactively introduce new investment ideas to enhance the client portfolio
- Monitors client portfolios and recommends and implements changes, as necessary
- Completes all annual regulatory requirements for each client
- Ensures completion and consistent review of an Investment Policy Statement and Individual Wealth Plan for each relationship
- Accountable for referring Investment only clients to Relationship Manager to increase banking and lending product sales.
- Records Client correspondence, communications, meetings and sales activity as appropriate
- Ensures proper administration of Client accounts and coordination of services in compliance with Company policies and applicable laws and regulations
- Ensures all new relationships are following proper account acceptance guidelines
- Ensures all client books conform to all legal and regulatory requirements and guidelines associated with FINRA, SEC, and TD Bank
- Ensures only approved products and services are sold to HNW clients in conjunction with Regulatory, Firm and division policies
- Represents TD Wealth to the public in a professional manner
- Be involved in your community and support TDBG charity and community initiatives
- Responsible for fostering and contributing to a positive and constructive work environment with a focus on supporting the overall Wealth team
EDUCATION & EXPERIENCE:
- 4-year degree required
- 3 -5 years financial services experience
- Asset allocation and portfolio construction preferred
- Securities Licensed: Series 7, 63 + 65 or 66
- Ensures all Continuing Education requirements are attained
- Able to articulate knowledge of investment concepts, industry and practices, including understanding of domestic and international financial markets and related legal and regulatory guidelines
- Strong ability to understand the client’s investment goals and objectives and develop a diversified investment plan and strategy that meets those goals
- Client management skills and experience, with ability to build and maintain strong and productive working relationships
- Financial analysis and general analytical ability, including understanding and some experience with investment concepts
- Understanding and some experience with general taxation and financial planning
- Critical thinker with flexibility and ability to think out of the box to provide solutions to meet variety of business/market needs
- Excellent communication skills, both verbal and written. Proficiency in Microsoft Applications (PowerPoint, Excel, Word)
CUSTOMER ACCOUNTABILITIES:
- Understands and supports the Banks Customer Service Strategy
- Considers the impact of advice and decisions on the well-being of the Bank, as well as its customers, its employees and
- stakeholders
- Provides the highest level of Customer service when dealing with internal partners, vendors or our Customers - WOW at every opportunity
- Leads, coaches and models quality service delivery at every interaction
- Supports the ongoing improvement of the partner/Customer experience
EMPLOYEE/TEAM ACCOUNTABILITIES:
- Sets appropriate context for the business unit/function to enable optimal performance and alignment to strategy
- Supports the creation of goals and objectives for the business unit/function as well as communicate those goals and objectives to the team
- Builds capability support / executes plans to acquire, develop and retain the diverse teams with the skills and experience necessary to realize on current and future business strategies
- Role model behaviors consistent with TD’s leadership profile, customer and employee experience agendas and risk and control culture
- Creates an extraordinary place to work advance and sustain a unique, inclusive culture that reflects TD’s diversity agenda, and creates an extraordinary employee experience
- Leads, coaches and develops a highly effective team by ensuring ongoing training and performance and development management
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.
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