Wealth Client Support Supervisor - Marlton, NJ

TD Bank, N.A.; Marlton (NJ); On-site; USD 91,000 - 136,000; Full time

Job summary

TD Bank, N.A. in Marlton, New Jersey seeks a Wealth Client Support Supervisor to coordinate across wealth management functions, design efficient processes, and lead teams that support high net worth and other client segments.

You will hire and coach staff, ensure AML/ATF policy compliance, and drive a superior onboarding experience. This role emphasizes client-centric service, cross-functional collaboration, and ongoing process improvements to maximize client satisfaction and growth within the

Qualifications

• Associates degree and/or bachelor's degree with 7+ years of related experience
• Series 24 or 9/10, 7, 63/65 or 66 required
• Experience solving complex service issues

Responsibilities

• Coordinate communication with multiple wealth management areas to design processes and regulatory frameworks
• Hire, lead, and manage teams that support sales and service activities for various client segments
• Ensure compliance with AML/ATF policies and regulatory requirements across the team
• Provide coaching and role clarity for RM and IA tools and onboarding processes

Education

Associates degree and/or bachelor's degree

Job description

Work Location: Marlton, New Jersey, United States of America Hours: 40 Pay Details: $91,000 - $136,240 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 Wealth Client Support Supervisor serves two primary functions: 1) They coordinate communication with multiple areas of the wealth management business (including, but not limited to, distribution, supervision, product, operations, legal, compliance, technology) in designing and implementing process development and the procedural framework necessary to efficiently operate the business within regulatory requirements. 2) They hire, lead, and manage teams that support the sales and service activities of high net worth, institutional, mass affluent, and other division areas. Depth and Scope: Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required The Client Support Supervisors serve as subject matter experts for the primary services provided by the wealth management division: managed investment accounts on TDPCW platform, brokerage investment accounts on the TDPCW platform, Trust and Investment accounts on the TDBNA platform including Trustdesk, wealth depository services, wealth lending services Responsible for implementing process changes to adhere to newly identified control gaps or introduction of additional regulatory requirements Responsible for overall process improvement including the reduction of NIGOs and/or improved delivery of service level agreements Supervision of escalated situations/cases, including the review/decisioning of identified items Partner with the Principal Review Unit and distribution to assist with NIGOs and guideline interpretation Work with the overall supervision and compliance teams to identify potential risks, trends, and patterns Collects concerns and feedback from Distribution team Assists the technology partners in prioritizing needs of business Provides coaching sessions for consistent use of RM and IA tools Provides role clarity for account opening and service requests using RM and IA toolkits for consistency Leads efforts improving efficient workflow, managing SMEs for all items effecting sales and service support Leads and manages a team that demonstrates a commitment to being customer-centric by ensuring a legendary service is provided during every customer interaction to maximize retention and growth Leads and manages a team that ensures all NEW clients receive the complete onboarding experience, which includes a thorough client discovery leading to a truly exceptional Client Experience, An introduction to the IA and TA as per client need, and the Completion of all requisite client profiling documents Recognizes gaps and trends to identify opportunities for process improvement Summarizes and highlights important information, incorporating changes and feedback as needed Audits staff on a regular basis Trains new staff members and other related departments in client service, policies, practices, and procedures including account opening, maintenance, and general service Resolves client service-related problems, including operational or compliance issues Handles customer complaints and other issues requiring escalation May Lead a team that works with less complex clients; may bring in subject matter experts earlier in the client relationship; ensures those existing clients, where it would add value, are provided with a Private Client Planning Experience May Lead a team who serves as the primary point of contact for TD Wealth client relationships; manages all aspects of the client's relationships with TD Bank; executes a differentiated service model/experience for HNW clients May Lead a team who deepens wallet share by anticipating client needs and suggesting the most appropriate banking, lending and/or investment solutions; maximizes profitability, while ensuring the client receives an exceptional client experience; leverages and coordinates specialists (Taxes, Trust and Estate) to provide interdisciplinary expertise for our most complex clients; identifies opportunities within portfolio and network to refer business to Retail, Commercial and Wealth Partners Ensures team executes in a manner that is compliant with regulations, policies, and procedures; understands and adheres to TD Wealth AML/ATF Policies and Procedures Ensures team 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 Ensures team implements 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; effectively implements 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 a minimum of two annual pro-active contacts Ensures team transitions lower threshold clients to appropriate Wealth Partners, as needed, to ensure capacity for target market clients Contributes individually and as a team member, to ensure strong performance, collaboration and enthusiasm that sets TD Wealth apart from our competitors.

Education & Experience

Associates degree and/or bachelor's degree 7+ years of related experience (preferably in the financial industry) Series 24 or 9/10, 7, 63/65 or 66 required Demonstrated experience solving complex service issues In-depth knowledge of investments, banking, and credit products Supervisory experience is preferable but not required Demonstrated organizational and time management skills Demonstrated ability to problem solve and work independently Experience in professional services and with working with affluent clients is required Knowledge of MS Word, Excel, PowerPoint and working with Contact Management databases is essential Demonstrates ability to manage multiple responsibilities and timelines Proven track record of delivering results and executing with excellence Ability to multitask and manage competing priorities effectively Excellent written and verbal communication skills

OCC Language

This position falls within the definition of Loan Originator ... (full paragraph as originally provided)

Physical Requirements

Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100% Domestic Travel – Occasional International Travel – Never 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.) – Never Squatting – Occasional Bending – Occasional Kneeling – Never Crawling – Never Climbing – Never Reaching overhead – Never Reaching forward – Occasional Pushing – Never Pulling – Never Twisting – Never 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

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.

Interview Process

We’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.

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.

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.

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. Learn more: Canada | US | Europe & Asia Pacific