Financial Advisor (Multiple Levels) - Auburn, Maine

About the role

The role is for a financial advisor or planner who will be providing financial planning guidance and selling investment management solutions. The ideal candidate will leverage their experience to service the unique and complex needs of TD Wealth clients.

Responsibilities

• Review financial goals and make investment recommendations aligned to those goals.
• Provide client service and develop relationships to achieve greater share of wallet by helping clients achieve their goals related to asset accumulation, preservation, growth, and protection.
• Partner and promote lead generation.
• Manage goals, prioritize tasks, and work comfortably in a fast-paced environment.
• 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 proactive 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.
• Maintain and 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 and refer business opportunities within your portfolio and network to Retail and Small Business/Commercial Partners.
• Comply with regulations, policies, and procedures.
• Understand and adhere to TD Bank & TD Wealth Policies and Procedures.
• Implement TD’s Customer Identification Program (CIP).
• Uncover client’s asset 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, and ongoing feedback to Retail and Small Business staff.
• Represent TD Wealth to the general public in a professional manner.
• Be involved in the community and support TDBG charity and community initiatives.

Requirements

Experience selling investments and providing financial plans.

Demonstrates a commitment to being customer-centric by delivering legendary service during every customer interaction to maximize retention and growth.

Ensures 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.

Manages goals, prioritizes tasks and comfortable working in a fast paced environment.

Ensures all new & existing clients are provided with a planning experience.

Meets quarterly and annual sales goals.

Deeper wallet share by anticipating client needs and suggesting the most appropriate Wealth solutions.

Maximizes profitability, while ensuring the client receives an exceptional client experience.

Identifies opportunities within your portfolio and network to refer business to Retail and Small Business/Commercial Partners.

Executes in a thorough manner that is compliant with regulations, policies and procedures.

Ensures all Continuing Education requirements are attained.

Understands and adheres to TD Bank & TD Wealth Policies and Procedures.

Implements TD’s Customer Identification Program (CIP).

Unearths client's asset and transitions higher threshold clients to appropriate HNW Wealth partners as needed.

Fosters and contributes to a positive and constructive work environment with a focus on supporting the overall Wealth team.

Provides coaching, Wealth referral training & on-going feedback to Retail and Small Business staff.

Represents TD Wealth to the general public in a professional manner.

Involved in the community and support TDBG charity and community initiatives.

Qualifications

• Bachelor's degree strongly preferred.
• 2+ years of providing advice, planning and investment sales.
• SIE, Series 7, Series 63 required.
• L&H and Series 66 (or equivalent) or the ability to obtain all within the Licensing and Registration Schedule.

Skills

• Self-directed, with strong ability to plan own activities to achieve sales and referral goals.
• Advanced understanding of wealth products and services.
• Strong verbal and written communication skills.
• Strong organizational and time management skills.
• Ability to travel within assigned market to meet prospects, clients and partners five days a week.
• Strong understanding of wealth management business development techniques.
• Strong understanding and experience interacting with retail and small business banking clients.
• Consultative sales experience required.

Benefits

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.

Pay

$72,280 - $108,160 USD

Schedule

Full-time, Monday through Friday.