FP Client Service Associate

TD; Toronto; On-site; CAD 53,000 - 74,000; Full time

Job summary

TD Wealth in Toronto is seeking a Financial Planning Support professional to partner with Financial Planners and clients, ensuring accurate account paperwork and timely processing.

You will respond to inquiries, facilitate new accounts and transfers, resolve issues, and provide proactive support to optimize client experiences while adhering to policies and TD guidelines.

Qualifications

• University/college diploma or equivalent.
• CSC (Canadian Securities Course) required.
• Complete CPH within first 90 days in role.
• Complete WME within 18 months in role.

Responsibilities

• Respond to FP/client inquiries promptly and accurately with options and solutions.
• Assist with new accounts, transfers, and other documents; inform the Financial Planner as needed.
• Investigate and resolve FP/client issues with viable solutions or options.
• Provide documents/information to support FP actions and notify FPs of updates.
• Develop relationships with Financial Planners, clients and operations team.
• Be the primary resource for FPSS and bank processes; ensure timely transaction handling and escalations.

Education

University/College Diploma

Canadian Securities Course (CSC)

Conduct & Practices Handbook (CPH)

Wealth Management Essentials (WME)

Job description

Work Location:Toronto, Ontario, CanadaHours:37.5Line of Business:TD WealthPay Details:$52,700 - $74,400 CADTD 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:KEY ACCOUNTABILITIESCUSTOMERRespond to FP/client inquiries promptly and accurately; proactively providing options and solutions including timely follow-upCreate a positive FP, client and business partner experience at every interaction and look for ways to contribute to the ongoing improvement of the overall FPS&S and client experienceSubmit, and follow up on new account, transfer and other documents to ensure completion, advising the Financial Planner or client as requiredInvestigate, resolve, and follow up on Financial Planner and client issues, providing viable solutions or optionsProvide documents/information that effectively supports the needs of the Financial Planner, detailing FP action as appropriateProactively notify FPs of ongoing updates, Daily News Postings, policy changes, etc. that may affect their practice or daily routinesContribute to the timely and accurate completion of new account openings, account transfers, cash transfers, iForms, and other administrative and transactional requestsDevelop and foster strong productive relationships with the Financial Planners, their clients and our operations teamAssist Financial Planners in daily business activities efficiently and effectively to ensure a legendary client experience while adhering to policies and proceduresBe the number one resource for the Financial PlannerEfficiently manage FP expectations through strong verbal and written communication skillsTake ownership of all transactions, ensuring account maintenance, operations and escalations are processed in a timely and satisfactory matterAssist clients with inquiries and requests and proactively contact clients for appointment booking, seasonal opportunities and statement reviews acting as an extension of the Financial Planner's businessProvide the Financial Planners with sales support by identifying net asset growth and revenue opportunities and reaching out to prospective clientsSHAREHOLDERAct as a brand champion for FPSS and bank, both internally and externallyBe knowledgeable of practices, policies and procedures, complying with TDGB & IIROC codes of conduct and securities laws and regulationsPrioritize and manage workflow to ensure quality, efficiency and timelinessMaintain a culture of risk management and control, identifying risks and escalating matters when appropriateSupervise day-to-day operations / activities, balance workloads, ensure compliance to internal / external requirements and the achievement of service level standards and productivity targetsResolve escalated matters and refer complex issues / situations beyond own level of expertiseEnsure adherence to operating standards and processes – perform quality checks and validation of workReview and/or update procedures ensuring all functions and systems are well documentedMonitor service, productivity and assess efficiency levels within own function and implement continuous process / performance improvements where opportunities existsIdentify operational issues and recommend improvements, may provide support during implementation of new process changesApply knowledge of systems, programs and services, and external requirements, in achieving efficiency and productivity objectives for the groupEnsure that employees are aware of the impact of their work on the activities of others outside of their function/unitEMPLOYEE / TEAMParticipate fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication of issues/ points of interestSupport the team by continuously enhancing knowledge / expertise in own area and participate in knowledge transfer within the team and business unitPromote a positive work environment and culture of innovation, teamwork, diversity and performanceSupport the team by continuously enhancing knowledge/expertise and proactively identifying opportunities for improvement within the department, participating in department initiatives and projectsActively participate in personal development activities and initiativesProactively offer support and coverage for the team and the RTA (Relationship Team Approach)Participate fully as a member of the team, support a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication of issues/ points of interestParticipate in personal performance management and development activities, including cross training within own teamKeep others informed and up-to-date about the status / progress of projects and / or all relevant or useful information related to day-to-day activitiesContribute to the success of the team by willingly assisting others in the completion and performance of work activities; provide training, coaching and/or guidance as appropriate.Contribute to a fair, positive and equitable environment that supports a diverse workforceBREADTH & DEPTHRequires specialized expertise and performs multiple and/or diverse tasks that are highly complex, involving multiple steps, systems, and jurisdictionsTransactions and activities require expert knowledge across a broad range or variety of products, processes or systems within own area of specialty and where transactions could be characterized by moderate to high riskGather and analyse data to identify and solve complex problems, escalates as requiredUse sound judgement and understanding of process/policy risk when recommending exceptions outside general practices or guidelines.Generally interacts with internal customers / partners for functions performed and/or external customersMay provide process / policy guidance to others (e.g. within team, internal partners)Focus of work is weekly, monthly and/or longer with addition of ad-hoc and initiative-based requests, as requiredProcess subject matter expert in a range of technical processes and procedures through job related training and considerable on the job experience to perform a range of work assignmentsRequires advanced knowledge of the business unit / operational functions as well as regulatory issues/ requirements for jurisdictions supportedMay involve cross-functional teams across TD and/or involving external contactsGenerally reports to a Manager Financial Planning SupportEXPERIENCE & EDUCATIONUniversity/College Diploma and/or minimum 2 years of industry experienceCanadian Securities Course (CSC) requiredComplete Conduct & Practices Handbook (CPH) within first 90 days in roleComplete Wealth Management Essentials (WME) within 18 months in roleWho We Are:TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we strive to make every interaction, product, and experience remarkably human and refreshingly simple for over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to foster deeper relationships, ensure disciplined execution, and build a simpler, faster banking experience. TD is deeply committed to being a leader in client experience, that is why we believe that all colleagues, no matter where they work, are client facing. Together, we are reimagining what banking can be for our clients, colleagues and communities.Our Total Rewards PackageOur 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 a base salary, variable compensation, and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off, banking benefits and discounts, career development, and reward and recognition programs. Learn moreAdditional 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.Please be advised that this job opportunity is subject to provincial regulation for employment purposes. It is imperative to acknowledge that each province or territory within the jurisdiction of Canada may have its own set of regulations, requirements.Colleague DevelopmentIf 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.If you’re passionate about helping clients and building deep, lasting relationships, TD offers diverse career paths where you can grow your expertise and make a meaningful impact.We're committed to your success and foster a respectful workplace where diverse perspectives are valued, everyone has fair opportunities to grow, and you can unlock your full potential to achieve your career goals. Here at TD, we hire and develop the best.Training & OnboardingWe will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.Interview ProcessWe’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.AccommodationYour accessibility is important to us. Please let us know if you’d like accommodations (including accessible meeting rooms, captioning for virtual interviews, etc.) to help us remove barriers so that you can participate throughout the interview process.We look forward to hearing from you!Language Requirement (Quebec only):Sans Objet