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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 by helping clients achieve their goals related to asset accumulation, preservation, growth, and protection.

Responsibilities

Leverage experience to service unique and complex needs of TD Wealth clients by reviewing financial goals and making investment recommendations aligned to their client's goals.
Serve as the central point of contact, responsible for providing client service & developing the relationship to achieve greater share of wallet by helping clients achieve their goals related to asset accumulation, preservation, growth, and protection.
Provide financial planning guidance and sell investment management solutions.
Ensure all NEW clients receive the complete on-boarding experience, which includes: a thorough client discovery, completion of a financial needs analysis to provide goals-based advice, an introduction to the centralized client servicing team as per client need, and completion of all requisite client documents.
Manage goals, prioritize tasks, and work comfortably in a fast-paced environment.
Ensure all new & existing clients are provided with a planning experience.
Effectively implement a process to ensure every client receives an Annual Client Review (ACR) meeting with an enhanced agenda focused on the client’s overall wealth needs, as well as pro-active contacts.
Serve as the primary point of contact for TD Wealth client relationships; manage all aspects of the client’s relationships with TD Bank and refer to Retail and Wealth partners & affiliates as needed.
Implement and execute a differentiated service model/experience for TD Wealth clients.
Meet quarterly and annual sales goals.
Deepen wallet share by anticipating client needs and suggesting the most appropriate Wealth solutions.
Maximize profitability while ensuring the client receives an exceptional client experience.
Identify opportunities within your portfolio and network to refer business to Retail and Small Business/Commercial Partners.
Execute in a thorough manner that is compliant with regulations, policies and procedures.
Adhere to all federal, state, SRO regulations and Firm policies related to all business activities (e.g. OCC, SEC, State Insurance Commissioners, NY Department of Financial Services, etc.).
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) 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.
Uncover client's assets and transition higher threshold clients to appropriate HNW Wealth partners as needed.
Foster and contribute to a positive and constructive work environment with a focus on supporting the overall Wealth team.
Provide coaching, Wealth referral training & on-going feedback to Retail and Small Business staff.
Contribute individually, as a team member and as a mentor to new FAs, to ensure strong performance, collaboration and enthusiasm.
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 when dealing with internal partners, vendors or our Customers.
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, and create an extraordinary employee experience.
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 the status / progress of projects and issues / points of interest.
Actively share information and knowledge, and proactively 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.
Demonstrates a commitment to being customer-centric by delivering legendary service during every customer interaction to maximize retention and growth.
Ability to partner and promote lead generation.
Ability to travel within assigned market to meet prospects, clients and partners five days a week.
Ability to commute within assigned territory.
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, and statements/certification from job applicant regarding administrative, civil, and/or criminal findings by any government agency/authority or self-regulatory organization, are required by federal law for this position.

Skills

Advanced understanding of wealth products and services.
Strong verbal and written communication skills.
Strong organizational and time management skills.
Strong understanding of wealth management business development techniques.
Strong understanding and experience interacting with retail and small business banking clients.
Consultative sales experience required.
Performing sedentary work – Continuous.
Performing multiple tasks – Continuous.
Operating standard office equipment - Continuous.
Sitting – Continuous.
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.

Location

Brooklyn, New York, United States of America

Work Type

Full-time

Experience Level

2+ years of experience

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 (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.