Financial Advisor Support Specialist I - Greenville, SC

TD Bank Group; Greenville (SC); On-site; USD 33,000 - 46,000; Full time

Job summary

TD Bank Group in Greenville, SC, is hiring a Financial Advisor Support Specialist (FASS) to serve as the primary administrative and service support for Financial Advisors and their clients in the mass affluent segment.

You will help ensure exceptional onboarding, accurate client data, and timely handling of basic transactions while upholding TD Wealth and regulatory standards. A strong organizer with financial services exposure is preferred.

Qualifications

• Associate or bachelor’s degree preferred or relevant experience.
• SIE & Series 99 registration required (or ability to obtain).
• Strong organization and reporting skills are essential.

Responsibilities

• Provide consistent, accurate administrative and client service support to Financial Advisors and clients.
• Onboard new clients with complete discovery and profiling.
• Assist with client transactions, account maintenance, and cash transfers.
• Ensure compliance with applicable regulations and firm policies (OCC, SEC, FINRA).
• Prepare reports, proposals, and spreadsheets for client reviews.

Skills

Client service

Administrative support

Communication

MS Office

Education

SIE & Series 99

Finance knowledge

Tools

MS Word

Excel

PowerPoint

CRM databases

Job description

Work Location: Greenville, South Carolina, United States of America Hours: 40 Pay Details: $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. 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 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.

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
• 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

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 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

Customer Accountabilities

• Understands and supports the Bank's 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

• Be engaged in advancing and sustaining a unique, inclusive culture that reflects TD's 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 other OCC

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 FINRA Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's 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 applicant's Form U4 with the CRD, and before representing on the applicant's Form U4 that it has conducted this investigation and verified the accuracy and completeness of the information contained in the applicant's Form U4; and the Firm's 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 FINRA Satisfactory 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.

Physical Requirements

• Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%
• Domestic Travel – Continuous
• International Travel – Occasional
• Performing sedentary work – Continuous
• Performing multiple tasks – Continuous
• Operating standard office equipment - Continuous
• Responding quickly to sounds – Occasional
• Sitting – Continuous
• Standing – Occasional
• Walking – Occasional
• Moving safely in confined spaces – Occasional
• Lifting/Carrying (under 25 lbs.) – Occasional Lifting/Carrying (over 25 lbs.) – Occasional
• Squatting – Occasional
• Bending – Occasional
• Kneeling – Occasional
• Crawling – Occasional
• Climbing – Never
• Reaching overhead – Occasional
• Reaching forward – Occasional
• Pushing – Occasional
• Pulling – Occasional
• Twisting – Occasional
• Concentrating for long periods of time – Continuous
• Applying common sense to deal with problems involving standardized situations – Continuous
• Reading, writing and comprehending instructions – Continuous
• Adding, subtracting, multiplying and dividing – Continuous

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.

Who 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 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

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.

Colleague Development

If 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 & Onboarding

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

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 [e-mail]. Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.

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Our Values

At TD we’re guided by our purpose to enrich the lives of our customers, communities and colleagues, and share a set of values that shape our culture and guide our behavior. In exchange for how our colleagues show up to help TD succeed, we are committed to delivering a colleague experience grounded in Impact, Growth and a Culture of Care. No matter where you work across TD, we empower you to make an impact at work and in your community, explore and grow your career and be part of our caring and inclusive culture.

Our Commitment to Diversity, Equity, and Inclusion

At TD, we’re committed to fostering an environment where all colleagues are encouraged to bring their authentic selves to work, experience equitable opportunities, and feel respected and supported. We’re dedicated to building an inclusive workforce that reflects the diversity of the customers and the communities in which we live and serve.

Helping to Make an Impact in Communities – TD Ready Commitment

TD has a long-standing commitment to help drive progress towards a more inclusive and sustainable future. That’s why we launched the TD Ready Commitment in 2018, now a multi-year North American initiative. Under the TD Ready Commitment, we are targeting a total of C$1 billion by 2030 in community giving across four key, interconnected drivers of change: Financial Security, Vibrant Planet, Connected Communities, and Better Health. It’s our goal to help support change, nurture progress, and contribute to making the world a better, more inclusive place for our customers, colleagues, and communities.

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