Private Client Portfolio Advisor I

Private Client Portfolio Advisor I

Requirements

• 4-year degree required
• 3 -5 years financial services experience
• Securities Licensed: Series 7, 63 + 65 or 66
• 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)

Responsibilities

• 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

Preferred Qualifications

• Asset allocation and portfolio construction preferred