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Small Business Specialist I

Company: TD Bank
Location: Greenville
Posted on: May 3, 2021

Job Description:

Analyzes clients financial information to determine appropriate investment and insurance strategies and productsBuilds a client base by acquiring new clients on an ongoing basisMaintains existing client base keeping client information up to dateRetains a book of business through relationship management and periodic updates to clients financial plan as neededMeets quarterly and annual sales goalsProficient in Fin-Tech software to effectively track client engagement and provide adviceEnsures all new clients receive the complete on-boarding experience, which includes:A thorough client discovery leading to a truly exceptional client experienceCompletion of a financial needs analysis to provide goals-based adviceCompletion of all requisite client onboarding documentsEffectively implements 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 pro-active contactsServes as a central sales and planning point of contact for TD Mass Affluent clients, without a local FA relationship, who have a Wealth need; service all aspects of the client's relationship and submits appropriate referrals to all relevant partners, including local field FAsAnticipates clients needs and suggests the most appropriate Wealth solutionsExecutes in a manner that is compliant with regulations, policies and proceduresAdheres to all federal, state, SRO regulations and Firm policies related to all business activities (e.g. OCC, SEC, State Insurance Commissioners, NY Department of Financial Services, etc.)Ensures all Continuing Education requirements are attainedResponsible for understanding and adhering to TD Bank u0026 TD Wealth Policies and ProceduresResponsible 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 proceduresUncovers clients asset and transitions higher threshold clients to appropriate HNW Wealth partners as neededResponsible for fostering and contributing to a positive and constructive work environment with a focus on supporting the overall Wealth teamContributes individually, as a team member and as a mentor to new FAs, to ensure strong performance, collaboration and enthusiasmRepresents TD Wealth to the general public in a professional mannerBe involved in the community and support TDBG charity and community initiativesMust be eligible for employment under regulatory standards applicable to the position.The Personal Financial Advisor (PFA) I works from a centralized hub with clients in the Mass Affluent (MA) segment to attract and retain clients by addressing their wealth management needs. The PFA I meets remotely with prospects and clients to understand their long-term financial goals, objectives and risk tolerance by analyzing their financial information including but not limited to their income, assets and liabilities. The PFA I recommends personalized investment and insurance solutions to meet the clients objectives. The PFA I will be part of a sales desk team responsible for developing and maintaining TD Wealths client base from several sources including Retail Store referrals from stores without Financial Advisors, digital prospects, marketing lead lists u0026 accounts transitioned from a field Financial Advisors to the central desk. The PFA I possesses broad knowledge and the ability inform and educate clients on the financial markets and market conditions. As a fiduciary the PFA I puts the clients financial interests first when providing ongoing objective financial advice, long-term retirement planning and when conducting annual reviews to determine if there have been changes in their financial status or goals. The PFA I will be part of a team that collectively is responsible for all aspects of maintaining client relationships by providing on-going advice, planning and day to day account servicing.Bachelors degree preferred2+ years of financial services industryValid and active Series S65 is required, or obtained within allotted time periodA valid and active Life u0026 Health insurance license is required, or obtained within allotted time periodUnderstanding wealth management business development techniques, products, services and overall industry.Understanding and experience with retail and small business banking and experience interacting with Mass Affluent and HNW clientsConsultative sales experience preferred.Ability to establish relationships and partner effectively with other departmentsOCC 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 Firms 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 applicants Form U4 with the CRD, and before representing on the applicants Form U4 that it has conducted this investigation and verified the accuracy and completeness of the information contained in the applicants Form U4; and the Firms 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

Keywords: TD Bank, Greenville , Small Business Specialist I, Other , Greenville, South Carolina

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