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Financial Advisor Support Specialist I - Greenville, SC

TD · Greenville, SC · 2 days ago
On-siteFinance$24–$33.5/hrFull-time

Job Description

The Financial Advisor Support Specialist (FASS) acts as a point of client contact accountable to serve the needs of clients in the mass affluent segment. The role serves as the primary administrative and service support for the Financial Advisors (FAs) and their clients. This role supports the FA team and provides consistent and accurate administrative and service support.

  • Demonstrates a commitment to being customer-centric by ensuring a legendary service is provided during every customer interaction to maximize retention and growth
  • Serves as the primary administrative and service support for the Financial Advisors (FAs) and their clients
  • Supports the FA team and provides consistent and accurate administrative and service support

Responsibilities

  • Ensures all NEW clients receive the complete on-boarding experience, which includes: a thorough client discovery leading to a truly exceptional Client Experience, completion of all requisite client profiling documents
  • Handles financial transactions such as, but not limited to, the collection, maintenance, re-investment (i.e., sweeps) and disbursement of funds as well as account transfers
  • 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.)
  • Attains Continuing Education requirements
  • Understands and adheres to TD Wealth AML/ATF Policies and Procedures
  • Implements 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
  • Contributes to a positive and constructive work environment with a focus on supporting the overall Wealth team
  • Represents TD Wealth to the public in a professional manner
  • Supports the assigned team members in meeting service commitments to clients
  • Provides consistent and accurate administrative support to assigned team member including filing, report generation, presentation material, written proposals and spreadsheet reporting
  • Acts as a contact for client relationships with regards to account maintenance, portfolio information and cash transfers
  • Manages and responds to all incoming enquiries/requests for information independently/or directs to appropriate person or area
  • Delivers operational excellence
  • Completes all applicable specialized training
  • 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
  • Captures and 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

Qualifications

  • A combination of the following: an associate degree and/or bachelor's degree preferred or relevant experience, Related experience preferably in the financial industry, A minimum of SIE & Series 99 registration is required: (or ability to obtain within)
  • 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
  • Significant initiative in providing a high level of organization
  • Experience in professional services and with working with affluent clients is required
  • Knowledge of MSWord, Excel, PowerPoint and working with Contact Management databases is essential
  • Possesses 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
  • Ability to manage multiple responsibilities and timelines
  • Proven track record of delivering results and executing with excellence
  • Excellent written and verbal communication skills
  • Criminal and financial background investigation is required pursuant to FINRA Rule 3110(e) and successor regulations and financial background investigation is required pursuant to FINRA Rule 3010(e) and successor regulations

Benefits

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.

Pay

$24.00 - $33.50 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.

Schedule

Hours 40

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