Financial Advisor Support Specialist I - Greenville, SC

TD • Greenville, SC

9d • $24 - $34

About The Position

The Financial Advisor Support Specialist (FASS) serves as a point of contact for mass-affluent clients and provides primary administrative and service support to Financial Advisors and their clients. The role supports the Financial Advisor team by delivering consistent, accurate, and client-focused service, including onboarding new clients, maintaining accounts, coordinating information, and assisting with account administration and specialized services.

The specialist may handle financial transactions and client requests, such as account maintenance, portfolio information, cash transfers, and account transfers. The role requires adherence to federal and state regulations, securities industry rules, firm policies, and TD Wealth anti-money laundering and customer-identification procedures. The specialist works independently with minimal supervision, collaborates with internal teams, and contributes to operational excellence and a positive, inclusive work environment.

This position is based in Greenville, South Carolina. The stated pay range is $24.00–$33.50 USD. The position requires a minimum of SIE and Series 99 registration, or the ability to obtain them within the Licensing & Registration Schedule. A criminal and financial background investigation is required.

Requirements

• Associate degree and/or bachelor's degree, or relevant experience; a degree is preferred.
• Related experience, preferably in the financial industry.
• Experience in professional services and working with affluent clients is required.
• Minimum SIE and Series 99 registration, or ability to obtain them within the Licensing & Registration Schedule.
• Ability to work with minimal supervision.
• Strong administrative ability and exceptional organization skills.
• Initiative in maintaining a high level of organization.
• Proficiency with Microsoft Word, Excel, and PowerPoint, and experience with contact-management databases.
• Ability to generate reports relevant to managing client investment portfolios.
• Ability to manage multiple responsibilities and timelines.
• Proven record of delivering results and executing with excellence.
• Excellent written and verbal communication skills.
• Must be eligible for employment under FINRA standards and satisfy applicable investigation and verification requirements.
• Satisfactory criminal background, credit report, civil litigation, and regulatory or self-regulatory organization enforcement searches are required.

Nice To Haves

• Knowledge of investments, banking, and credit products.
• Reasonable knowledge of investments and ability to generate reports pertinent to client investment portfolios, with a preference for an administrative support focus.

Responsibilities

• Provide responsive, accurate administrative and service support to Financial Advisors and their clients.
• Deliver high-quality service to mass-affluent clients and contribute to client retention and growth.
• Ensure new clients receive a complete onboarding experience, including client discovery and completion of required profiling documents.
• May collect, maintain, reinvest, and disburse funds, and assist with account transfers.
• Follow applicable federal and state regulations, SRO requirements, firm policies, and TD Wealth AML/ATF procedures.
• Implement the Customer Identification Program by collecting and verifying identification information and completing applicable due diligence.
• Communicate proactively with assigned team members to help meet client service commitments.
• Prepare and maintain administrative materials, including filings, reports, presentations, written proposals, and spreadsheets.
• Respond to inquiries and requests independently or direct them to the appropriate person or department.
• Assist with account administration, client retention, specialized services, and other wealth-management responsibilities.
• Maintain databases and computer systems, enter and update data, ensure accuracy, and create reports as required.
• Coordinate information among internal departments, clients, and others; obtain and forward required documents and information.
• May resolve more difficult client issues, problems, and requests.
• Keep team members informed about account administration, retention, and project status.
• Complete assigned administrative and client-service tasks in accordance with policies and procedures.
• Identify opportunities to refer clients to internal business partners.
• Recommend technology or process improvements that could improve productivity or client satisfaction.
• Complete required continuing education and specialized training.
• Contribute to a collaborative, constructive, inclusive, and positive team environment; may provide guidance or training to other team members.
• Support TD charity and community initiatives and represent TD Wealth professionally.

Benefits

• 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
• Reward and recognition
• Training and onboarding
• Online learning platform
• Mentoring programs
• Variable compensation or incentive awards may be available, generally through participation in an incentive plan

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Education Level: Associate degree