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About the Role

The Financial Advisor (FA) role is a three-year program with a forgivable draw, designed for individuals who will provide financial planning guidance and sell investment management solutions. You will leverage your experience to service the unique and complex needs of TD Wealth clients by reviewing financial goals and making investment recommendations aligned to their goals. This role serves as the central point of contact, responsible for client service and relationship development to achieve greater share of wallet.

Responsibilities

Provide financial planning guidance and sell investment management solutions.
Service unique and complex client needs by reviewing financial goals and making investment recommendations.
Serve as the central point of contact for client service and relationship development.
Ensure new clients receive a complete onboarding experience, including client discovery, financial needs analysis, and document completion.
Partner and promote lead generation.
Manage goals, prioritize tasks, and work in a fast-paced environment.
Ensure all new and existing clients receive a planning experience.
Implement a process for annual client reviews with an enhanced agenda.
Act as the primary point of contact for TD Wealth client relationships.
Implement and execute a differentiated service model for TD Wealth clients.
Meet quarterly and annual sales goals.
Deepen wallet share by anticipating client needs and suggesting appropriate Wealth solutions.
Identify opportunities to refer business to Retail and Small Business/Commercial Partners.
Execute in a manner compliant with regulations, policies, and procedures.
Adhere to all federal, state, SRO regulations, and Firm policies.
Ensure all Continuing Education requirements are attained.
Understand and adhere to TD Bank & TD Wealth Policies and Procedures.
Implement TD’s Customer Identification Program (CIP) and Customer Due Diligence requirements.
Uncover client assets and transition higher threshold clients to appropriate HNW Wealth partners.
Foster and contribute to a positive and constructive work environment.
Provide coaching, Wealth referral training, and ongoing feedback to Retail and Small Business staff.
Contribute individually, as a team member, and as a mentor to new FAs.
Represent TD Wealth to the general public in a professional manner.
Be involved in the community and support TDBG charity and community initiatives.
Support the Bank's Customer Service Strategy.
Consider the impact of decisions on the well-being of TD, its Customers, and stakeholders.
Provide the highest level of Customer service.
Model quality service delivery at every interaction.
Lead and contribute to the ongoing improvement of the partner / Customer experience.
Advance and sustain a unique, inclusive culture that reflects TD's diversity agenda.
Participate fully as a member of the team and contribute to a positive work environment.
Provide leadership, training, and guidance to other team members.
Ensure ongoing communication with the team on project status and issues.
Actively share information and knowledge, and learn from the expertise of others.

Requirements

2+ years of providing advice, planning, and investment sales.
SIE, Series 7, Series 63 required.
Required to have L&H and Series 66 (or equivalent) or the ability to obtain all within the Licensing and Registration Schedule.
Self-directed, with strong ability to plan own activities to achieve sales and referral goals.
Advanced understanding of wealth products and services.
Strong verbal and written communication skills.
Strong organizational and time management skills.
Ability to travel within assigned market to meet prospects, clients, and partners five days a week.
Ability to commute within assigned territory.
Strong understanding of wealth management business development techniques.
Strong understanding and experience interacting with retail and small business banking clients.
Consultative sales experience required.
Demonstrated ability to establish relationships and partner effectively with other departments.
Proven ability to achieve sales goals.
Must be eligible for employment under standards established by FINRA.
Satisfactory results on a criminal background check, credit report check, civil litigation search, and regulatory agency or self-regulatory organization enforcement action search are required.
Must provide statements/certification regarding administrative, civil, and/or criminal findings by any government agency/authority or self-regulatory organization.

Skills

Financial planning
Investment sales
Client service
Relationship development
Lead generation
Sales goal achievement
Regulatory compliance
Customer identification program (CIP)
Customer Due Diligence (CDD)
Enhanced Due Diligence (EDD)
Wealth management
Communication
Organization
Time management
Consultative sales

Location

Sunnyside, New York, United States of America

Work Type

Full-time

Experience Level

2+ years

Education Level

Bachelor's degree strongly preferred

Salary/Compensations

$66,560 - $117,520 USD

Benefits

Health and well-being benefits
Savings and retirement programs
Paid time off (Vacation PTO, Flex PTO, Holiday PTO)
Banking benefits and discounts
Career development
Reward and recognition
Training programs
Mentoring programs

About the Company

TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores.
TD strives to make every interaction, product, and experience remarkably human and refreshingly simple for 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 foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience.
TD is deeply committed to being a leader in client experience.
TD believes that all colleagues, no matter where they work, are client facing.
Together, TD is reimagining what banking can be for clients, colleagues, and communities.

Equal Opportunity

TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.
If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at USWAPTDO@td.com. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.