Private Client Specialist II - Greenville, SC

Work Location:
Greenville, South Carolina, United States of America

Hours:
40

Pay Details:
$29.75 - $44.50 USD

TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.

As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.

• Demonstrates a commitment to being customer-centric by ensuring a legendary service is provided during every customer interaction to maximize retention and growth
• Ensures all NEW clients receive the complete onboarding experience, which includes; A thorough client discovery leading to a truly exceptional Private Client Experience, An introduction to the IA and TA as per client need, and the Completion of all requisite client profiling documents
• May work with less complex clients; may bring in subject matter experts earlier in the client relationship
• Will have a smaller book than traditional Relationship Managers
• Ensures those existing clients, where it would add value, are provided with a Private Client Planning Experience
• Serves as the primary point of contact for TD Wealth client relationships; manages all aspects of the clients relationships with TD Bank
• Executes a differentiated service model/experience for HNW clients
• Deepens wallet share by anticipating client needs and suggesting the most appropriate banking, lending and/or investment solutions; maximizes profitability, while ensuring the client receives an exceptional client experience
• Leverages and coordinates specialists (Taxes, Trust and Estate) to provide interdisciplinary expertise for our most complex clients
• Works with leadership to develop and implement an advocate strategy in order to grow your book of business
• Identifies opportunities within your portfolio and network to refer business to Retail, Commercial and Wealth Partners
• Executes in a manner that is compliant with regulations, policies and procedures
• Adheres to all federal, state, SRO regulations and Firm policies related to all business activities (e.g. OCC, SEC, FINRA etc.); ensures all Continuing Education requirements are attained
• Responsible for understanding and adhering to TD Wealth AML/ATF Policies and Procedures
• Responsible for implementing 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
• Effectively implements a process to ensure every client receives an Annual Client Review (ACR) meeting with an enhanced agenda focused on the clients overall wealth needs, as well as a minimum of two annual pro-active contacts
• Transitions lower threshold clients to appropriate Wealth Partners, as needed, to ensure capacity for target market clients
• Contributes individually and as a team member, to ensure strong performance, collaboration and enthusiasm that sets TD Wealth apart from our competitors
• Represents TD Wealth to the general public in a professional manner
• Is involved in your community and supports TDBG charity and community initiatives
• Ensures service to external clients and/or internal clients reflects TDBG standards and guiding principles
• Through proactive communication (verbal/written), supports the assigned team members in meeting service commitments to clients
• Provides consistent and accurate administrative support to assigned team members including filing, report generation, presentation material, written proposals and spreadsheet reporting
• May act as secondary contact for client relationships with regards to account maintenance, portfolio information and cash transfers
• Efficiently manages and promptly responds to all incoming inquiries/requests for information independently/or direct to appropriate person or area
• Delivers operational excellence
• Completes all applicable specialized training
• Works independently with minimal supervision
• Performs necessary duties to assist assigned team members with all aspects of account administration, retention, specialized services and other responsibilities in accordance within wealth management area of specialization
• Maintains various databases and computer systems by entering transactional and other data, updating information as necessary and ensuring data accuracy; creates reports summarizing information as required
• Coordinates information flow among internal departments, Clients and others as necessary, communicating procedural and administrative information; forwards and obtains required documents and information as required
• May resolve more difficult Client issues, problems, and requests
• Guides and directs others as necessary; acts as a specialist resource to support all wealth management areas
• Keeps others on the team informed about status of account administration, retention and projects
• Completes assigned administrative/Client service tasks within policy and operating procedures
• Identifies opportunities to make referrals to internal business partners
• Identifies and recommends technological/process improvements which may improve overall productivity and Client satisfaction

• Associate's Degree and/or Bachelor's Degree
• 2+ years of related experience (Preferably in the financial industry)
• Series 7, 63/65 or 66 registrations required; if hired without licenses, candidate will need to acquire
• Knowledge of investments, banking and credit products preferred
• A self starter, ability to work with minimal supervision
• Ability to excel at administration and be exceptionally well organized
• Demonstrates considerable initiative in providing a high level of organization
• Experience in professional services and with working with affluent clients is required
• Knowledge of MS Word, Excel, PowerPoint and working with Contact Management databases is essential
• Posses a reasonable knowledge of investments, and has the ability to generate reports pertinent to the management of client investment portfolios; however, prefers to focus on administration in a support role
• Demonstrates ability to manage multiple responsibilities and timelines
• Proven track record of delivering results and executing with excellence
• Ability to multitask and manage competing priorities effectively
• Excellent written and verbal communication skills

• This position falls within the definition of Loan Originator as defined under Regulation Z of the Truth in Lending Act, 12 CFR Part 1026.36; and the definition of Mortgage Loan Originator as defined under the Secure and Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act), 12 U.S.C. §§ 5102 et seq., and its implementing regulations, 12 CFR Part 1007; and is with a FINRA member, broker or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered position under FINRA
• Must be eligible for employment with a covered financial institution under the standards established by Regulation Z of the Truth in Lending Act, 12 CFR Part 1026.36
• Must be eligible for registration as a registered mortgage loan originator with the NMLS (Nationwide Mortgage Licensing System and Registry) in accordance with the Secure and Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act), 12 U.S.C. §§ 5102 et seq., and its implementing regulations, 12 CFR Part 1007
• Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to investigate the good character, business reputation, qualifications and experience of an applicant for registration before applying to register the applicant with FINRA and filing the applicant's Form U4 with the CRD, and before representing on the applicant's Form U4 that it has conducted this investigation and verified the accuracy and completeness of the information contained in the applicant's Form U4; and the Firm's obligation to verify the accuracy and completeness of the information contained on the applicant's Form U4, no later than 30 calendar days after the Form U4 is filed with 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, or criminal findings by any government agency/authority or self-regulatory organization, are required by federal law for this position

• 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 - Occasional
• Crawling - Never
• Climbing - Never
• Reaching overhead - Never
• Reaching forward - Occasional
• Pushing - Occasional
• Pulling - Occasional
• Twisting - Occasional
• 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