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About the Role

The Institutional Senior Investment Advisor partners with the Institutional Relationship Manager to provide investment services including sophisticated investment products to Institutional clients.

Responsibilities

• Accountable for positive net growth in assets under management
• Refers Investment only clients to Relationship Manager to increase banking and lending product sales for both the institution and HNW individuals at the institutional client
• Demonstrates a commitment to being customer-centric by ensuring a legendary service is provided during every customer interaction to maximize retention and growth
• Extensive track record for managed account solutions book of business with an institutional focus. (i.e. fiduciary vs. suitability)
• Partners closely with Institutional Relationship Managers to ascertain potential investment needs of TD Wealth clients to increase wallet share
• May work with more complex clients
• Partners with Institutional Relationship Managers in support of securing new clients with potential investment needs
• May act as primary point of contact for legacy institutional client relationships (i.e. Advisors legacy book of business)
• Contributes individually, as a team member and as a mentor to more junior staff, to ensure strong performance, collaboration and enthusiasm that sets TD Wealth Private Client apart from our competitors
• Using TD Wealth's comprehensive tool set, works with institutional clients to develop and define their investment strategy
• Implements investment objectives and strategies for institutional client base
• Provides support and information to all TD Wealth team members and partners with respect to investment products with a focus on institutional client needs
• Uses advanced knowledge of Investment Products and concepts to proactively introduce new investment ideas and solutions to enhance the clients portfolio
• Monitors client portfolios and recommends and implements changes as necessary
• Annually reviews fees and asset mix for each relationship
• Ensures completion and consistent review of an Investment Policy Statement and Individual Wealth Plan for each relationship
• Uses expense budget appropriately to support Client and business activities
• Records Client correspondence, communications, meetings and sales activity in SalesForce.com 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 institutional clients in conjunction with Regulatory, Firm and division policies
• Represents TD Wealth to the general public in a professional manner
• Be involved in your community and support TDBG charity and community initiatives
• Fosters and contributes to a positive and constructive work environment with a focus on supporting the overall Wealth team. Provide Guidance to junior staff

Requirements

• 4-year degree required, MBA or advanced degree preferred
• 10 Years financial services experience in a production capacity with an institutional client focus (i.e. track record for meeting sales goals) required
• Securities Licensed: Series 7, 63 + 65 or 66
• Certified Financial Planner (CFP), preferred
• CIMA, CAIA or CFA designation preferred
• 5+ years' experience in asset allocation and portfolio construction preferred
• Consultative investment sales experience
• Ensures all Continuing Education requirements are attained
• In-depth knowledge of investment concepts, industry and practices, including understanding of domestic and international financial markets and related legal and regulatory guidelines
• Advanced ability to understand the clients investment goals and objectives and develop a diversified investment plan and strategy
• Extensive institutional Client management skills and experience, with proven ability to build and maintain strong and productive working relationships
• Ability to successfully operate on multiple investment platforms
• Strong financial analysis and general analytical ability, including understanding and experience with investment concepts
• Understanding and experience with sophisticated concepts in general taxation and personal financial planning
• Systematic, integrated and critical thinker with flexibility and ability to think out of the box to provide solutions to meet a variety of business/market needs
• Superior communication skills, both verbal and written
• Supervisory ability
• Strong execution skills and action oriented
• Must have experience working within a highly collaborative team environment

Skills

• Investment services
• Sophisticated investment products
• Managed account solutions
• Asset allocation
• Portfolio construction
• Consultative investment sales
• Investment concepts
• Financial markets
• Legal and regulatory guidelines
• Investment goals and objectives
• Diversified investment plan and strategy
• Institutional Client management
• Financial analysis
• General analytical ability
• General taxation
• Personal financial planning
• Communication skills
• Supervisory ability
• Execution skills

Location

• New York, New York, United States of America

Work Type

• Full-time

Experience Level

• 10+ years
• 5+ years

Education Level

• 4-year degree
• MBA or advanced degree preferred

Salary/Compensations

• $124,280 - $186,160 USD

Benefits

• Health and well-being benefits
• Savings and retirement programs
• Paid time off (including Vacation PTO, Flex PTO, and Holiday PTO)
• Banking benefits and discounts
• Career development
• Reward and recognition
• Training programs
• Online learning platform
• 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.
• Every day, we strive 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, that is why we believe that all colleagues, no matter where they work, are client facing.
• Together, we are reimagining what banking can be for our 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.