Financial Advisor Support Specialist

Description:

The Financial Advisor Support Specialist 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.

The Financial Advisor Support Specialist supports the FA team and provides consistent and accurate administrative and service support.

Depth & Scope

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 on-boarding experience, which includes: a thorough client discovery leading to a truly exceptional Client Experience, completion of all requisite client profiling documents
May handle 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.)
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
Contributes to a positive and constructive work environment with a focus on supporting the overall Wealth team
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 public in a professional manner
Be involved in your community and support 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 member including filing, report generation, presentation material, written proposals and spreadsheet reporting
May act as a contact for client relationships with regards to account maintenance, portfolio information and cash transfers
Efficiently manages and promptly responds to all incoming enquiries/requests for information independently/or directs 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
l 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

Education & Experience

Associate degree and/or bachelor's degree
2+ years of related experience (preferably in the financial industry)
A minimum of SIE & Series 99 registration is required; (or ability to obtain within Licensing & Registration Schedule)
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 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
Demonstrates 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