Financial Advisor - Rego Park, NY

TD Bank, N.A.; New York (NY); On-site; USD 100,000; Full time

Job summary

TD Bank is seeking a Transitional Financial Advisor in New York. This role involves providing comprehensive financial planning and investment management solutions to clients, ensuring a superior customer experience, and achieving sales objectives. Candidates must possess a 4-year degree and relevant experience in financial services.

Benefits

Comprehensive health and well-being benefits

Career development and training programs

Competitive salary and incentive awards

Qualifications

• 4-year degree required or equivalent work experience.
• 2 years of selling investments & providing financial planning.
• Proven ability to achieve sales goals.

Responsibilities

• Serve as the primary point of contact for TD Wealth client relationships.
• Provide financial planning guidance & sell investment management solutions.
• Manage goals, prioritize tasks, and ensure client satisfaction.

Skills

Business Development

Sales Experience

Financial Planning

Customer relationship management

Education

4-year degree

Job description

Rego Park New York United States of America

100000 - $100000 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 candidates 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.

Line of Business : TD Wealth

Job Description :

The Transitional Financial Advisor (TFA) role is a three-year program with a draw for financial advisors or planners who will be providing financial planning guidance & selling investment management solutions.

A Transitional FA will need to leverage their experience to service the unique and complex needs of clients in the Mass Affluent (MA) segment by identifying needs reviewing financial goals and making investment recommendations aligned to their clients goals. The role will serve as the central point of contact responsible for providing client service & developing the relationship to achieve greater share of wallet by helping clients achieve their goals related to asset accumulation preservation growth and protection.

• 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
• Ability to partner and promote lead generation
• Manages goals prioritizes tasks and comfortable working in a fast paced environment
• Ensures all new & existing clients are provided with a MA Planning Experience
• Effectively implement a process to ensure every client receives an Annual Client Review (ACR) meeting with an enhanced agenda focused on the clients overall wealth needs as well as pro-active contacts
• Serves as the primary point of contact for TD Wealth client relationships for MA segment; manages all aspects of the clients relationships with TD Bank and refers to Retail and Wealth partners & affiliates as needed
• Implements and executes a differentiated service model / experience for MA clients
• Meets quarterly and annual sales goals
• Deepens 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 thorough 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 State Insurance Commissioners NY Department of Financial Services etc.)
• Ensures all Continuing Education requirements are attained
• Responsible for understanding and adhering to TD Bank & TD Wealth Policies and Procedures
• Responsible for implementing TDs 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
• Uncovers clients asset and transitions higher threshold clients to appropriate HNW Wealth partners as needed
• Responsible for fostering and contributing 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
• Contributes individually as a team member and as a mentor to new FAs to ensure strong performance collaboration and enthusiasm
• Represents TD Wealth to the general public in a professional manner
• Is involved in the community and support TDBG charity and community initiatives

Education & Experience :

• 4-year degree required or equivalent work experience
• 2 years of selling investments & providing financial planning with a track record of success
• In-depth knowledge of investment products and services
• Required Registrations : SIE Series 7 and Series 65 / 66 required if the TFA only has 65 they will be required to obtain a 63 or 66 within the Licensing & Registration Schedule
• Required Life / Health Licenses or ability to obtain within Licensing & Registration Schedule
• Advanced understanding of wealth management business development techniques products services and overall industry.
• Proven ability to achieve sales goals
• Proficient with retail and small business banking
• Proven ability to establish relationships and partner effectively with other departments within TD Bank Americas Most Convenient Bank
• Ability to travel within assigned Market to meet prospects clients and partners; up to 75% of time
• Drivers License required

Customer Accountabilities :

• Understands and supports the Banks Customer Service Strategy
• Considers the impact of decisions on the well-being of TD its Customers and stakeholders
• Provides the highest level of Customer service when dealing with internal partners vendors or our Customers - WOW at every opportunity
• Models quality service delivery at every interaction
• Leads and contributes to the ongoing improvement of the partner / Customer experience

Employee / Team Accountabilities :

• Is engaged in advancing and sustaining a unique inclusive culture that reflects TDs diversity agenda and create an extraordinary employee experience
• Participates fully as a member of the team and contribute to a positive work environment
• May provide leadership training and guidance to other team members
• Ensures ongoing communication with the team on the status / progress of projects and issues / points of interest
• Actively shares information and knowledge and proactively learn from the expertise of others

LI-AMCBWealth

Who We Are :

TD is one of the worlds leading global financial institutions and is the fifth largest bank in North America by branches / stores. Every day we deliver legendary customer experiences to over 27 million households and businesses in Canada the United States and around the world. More than 95000 TD colleagues bring their skills talent and creativity to the Bank those we serve and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers communities and colleagues.

TD is deeply committed to being a leader in customer experience that is why we believe that all colleagues no matter where they work are customer facing. As we build our business and deliver on our strategy we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether youve got years of banking experience or are just starting your career in financial services we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs were here to support you towards your goals. As an organization we keep growing and so will you.

Our Total Rewards Package

Our 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 base salary and variable compensation / incentive awards (e.g. eligibility for cash and / or equity incentive awards generally through participation in an incentive plan) and several other key plans such as health and well-being benefits savings and retirement programs paid time off (including Vacation PTO Flex PTO and Holiday PTO) banking benefits and discounts career development and reward and recognition. Learn more

Additional Information :

Were delighted that youre considering building a career with TD. Through regular development conversations training programs and a competitive benefits plan were committed to providing the support our colleagues need to thrive both at work and at home.

Colleague Development

If youre interested in a specific career path or are looking to build certain skills we want to help you succeed. Youll 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. Whether you have a passion for helping customers and want to expand your experience or you want to coach and inspire your colleagues there are many different career paths within our organization at TD and were committed to helping you identify opportunities that support your goals.

Training & Onboarding

We will provide training and onboarding sessions to ensure that youve got everything you need to succeed in your new role.

Interview Process

Well 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.

Accommodation

TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race color religion sex sexual orientation gender identity national origin age disability status as a protected veteran or any other characteristic protected under applicable federal state or local law.

If you are an applicant with a disability and need accommodations to complete the application process please email TD Bank US Workplace Accommodations Program at . Include your full name best way to reach you and the accommodation needed to assist you with the applicant process.

Required Experience :

Unclear Seniority

Key Skills

Business Development,Estate Law,Sales Experience,Trusts,Wealth Management,Financial Services,Investment Experience,Military Experience,Securities Law,Customer relationship management,Financial Planning,Wills

Employment Type : Full-Time

Experience : years

Vacancy : 1

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Financial Advisor • Rego Park, New York, USA