Work Location:

Marlton, New Jersey, United States of America

Hours:

40

Line of Business:

TD Wealth

Pay Detail:

$110,760 - $166,400 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.

Job Description:

The Private Client Investment Advisor partners with Relationship Manager to provide comprehensive investment services including sophisticated investment products to HNW clients. The Investment Advisor will utilize their technical investment expertise to provide comprehensive investment services and solutions to meet the needs of clients.

Depth & Scope:

Demonstrates a commitment to being customer-centric by ensuring a legendary service is provided during every customer interaction to maximize retention and growthExtensive track record for managed account solutions book of business. (i.e., fiduciary vs. suitability)Partners closely with Private Client Relationship Managers to ascertain potential investment needs of TD Wealth clients to increase wallet shareMay work with more complex clientsPartners with Private Client Relationship Managers in support of securing new clients with potential investment needsMay act as primary point of contact for legacy 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 set TD Wealth Private Client apart from our competitorsUsing TD Wealth's comprehensive tool set, works with clients to develop and define their investment strategyImplements investment objectives and strategies for client baseProvides support and information to all TD Wealth team members and partners with respect to investment productsUses advanced knowledge of Investment Products and concepts to proactively introduce new investment ideas and solutions to enhance the client's portfolioMonitors client portfolios and recommends / implements changes as necessaryAnnually reviews fees and asset mix for each relationshipEnsures completion and consistent review of an Investment Policy Statement and Individual Wealth Plan for each relationshipAccountable for positive net growth in assets under managementAccountable for referring Investment only clients to Relationship Manager to increase banking and lending product salesUses expense budget appropriately to support Client and business activitiesRecords Client correspondence, communications, meetings and sales activity in SalesForce.com as appropriateEnsures proper administration of Client accounts and coordination of services in compliance with Company policies and applicable laws and regulationsEnsures all new relationships are following proper account acceptance guidelinesEnsures that all client books conform to all legal and regulatory requirements and guidelines associated with FINRA, SEC and TD BankEnsures only approved products and services are sold to HNW clients in conjunction with Regulatory, Firm and division policiesRepresents TD Wealth to the general public in a professional mannerBe involved in your community and support TDBG charity and community initiativesResponsible for fostering and contributing to a positive and constructive work environment with a focus on supporting the overall Wealth team. Provides Guidance to junior staff

Education & Experience:

4-year degree required, MBA or advanced degree preferredPreferred a minimum of 10+ Years financial services experience in a production capacity (i.e., track record for meeting sales goals) requiredValid Series 7, 63 + 65 or 66Valid and active Life & Health insurance licenses Certified Financial Planner (CFP), preferredCIMA, CAIA or CFA designation preferred5+ years' experience in asset allocation and portfolio construction preferredConsultative investment sales experienceEnsures all Continuing Education requirements are attainedIn-depth knowledge of investment concepts, industry and practices, including understanding of domestic and international financial markets and related legal and regulatory guidelinesAdvanced ability to understand the clients investment goals and objectives and develop a diversified investment plan and strategyExtensive Client management skills and experience, with proven ability to build and maintain strong and productive working relationshipsStrong financial analysis and general analytical ability, including understanding and experience with investment conceptsUnderstanding and experience with sophisticated concepts in general taxation and personal financial planningSystematic, integrated and critical thinker with flexibility and ability to think out of the box to provide solutions to meet a variety of business/market needsSuperior communication skills, both verbal and writtenSupervisory abilityStrong execution skills and action orientedMust have experience working within a highly collaborative team environment

OCC Language:

This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws.  May (or may not) be a registered position under FINRAMust 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 FINRASatisfactory 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

Who We Are

TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions. In 2023, we acquired Cowen Inc., offering our clients access to a premier U.S. equities business and highly-diverse equity research franchise, while growing our strong, diversified investment bank. We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.

Our Total Rewards Package
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as 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, and reward and recognition. Learn more
 

Additional Information:
We’re delighted that you’re considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development
If you’re interested in a specific career path or are looking to build certain skills, we want to help you succeed. You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD – and we’re committed to helping you identify opportunities that support your goals.

Training & Onboarding
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

Interview Process
We’ll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.

Accommodation

If you are an applicant with a disability and need accommodations to complete the application process, email the 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 application process.

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.