Financial Advisor Support Specialist I - Greenville, SC

TD•Greenville, SC

3d•$24 - $34•Onsite

About The Position

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.

Requirements

A combination of 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 MS Word, 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.
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.
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 and verify the accuracy and completeness of information before applying for registration 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 are required.
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.

Nice To Haves

Focus on administration in a support role.

Responsibilities

Serve the needs of clients in the mass affluent segment.
Provide primary administrative and service support for Financial Advisors (FAs) and their clients.
Ensure a legendary service is provided during every customer interaction to maximize retention and growth.
Manage the complete on-boarding experience for new clients, including client discovery and completion of profiling documents.
Handle financial transactions such as collection, maintenance, re-investment, and disbursement of funds, as well as account transfers.
Execute all activities in compliance with regulations, policies, and procedures, including OCC, SEC, and FINRA.
Ensure all Continuing Education requirements are attained.
Adhere to TD Wealth AML/ATF Policies and Procedures.
Implement TD’s Customer Identification Program (CIP) and perform Customer Due Diligence/Enhanced Due Diligence.
Contribute to a positive and constructive work environment, supporting the overall Wealth team.
Represent TD Wealth professionally to the public.
Participate in community and TDBG charity initiatives.
Ensure service to external and internal clients reflects TDBG standards.
Provide proactive communication to support team members in meeting client service commitments.
Provide consistent and accurate administrative support, including filing, report generation, presentation materials, proposals, and spreadsheet reporting.
Act as a contact for client relationships regarding account maintenance, portfolio information, and cash transfers.
Manage and respond to incoming inquiries and requests for information.
Complete specialized training.
Assist assigned team members with account administration, retention, and specialized services.
Maintain databases and computer systems, ensuring data accuracy and creating summary reports.
Coordinate information flow among internal departments, clients, and others.
Resolve client issues, problems, and requests.
Act as a specialist resource for wealth management areas.
Inform team members about the status of account administration, retention, and projects.
Complete assigned administrative/client service tasks within policy and operating procedures.
Identify opportunities for referrals to internal business partners.
Recommend technological/process improvements to enhance productivity and client satisfaction.