Financial Advisor Support Specialist I - Greenville, SC

TD Bank•Greenville, SC

2d•Onsite

About The Position

The Financial Advisor Support Specialist (FASS) serves as a client contact for clients in the mass affluent segment and provides primary administrative and service support to Financial Advisors and their clients. The role supports the advisor team with accurate, consistent service and account administration, and contributes to client retention, growth, and a high-quality client experience. The specialist helps onboard new clients, maintains account and client information, responds to inquiries, and may support financial transactions such as collecting, maintaining, reinvesting, and disbursing funds and transferring accounts. The role operates in accordance with applicable regulations and firm policies, including AML/ATF and Customer Identification Program requirements. It also coordinates information among clients and internal teams, helps resolve client issues, maintains databases and reports, and identifies opportunities for referrals and process improvements. The role contributes to a collaborative, inclusive, and constructive team environment, represents TD Wealth professionally, and supports community initiatives. It requires handling multiple responsibilities and timelines, working with minimal supervision, completing specialized training and continuing education requirements, and maintaining communication with team members about account administration and projects.

Requirements

A minimum of SIE and Series 99 registration is required, or the ability to obtain them within the Licensing & Registration Schedule.
Relevant experience; experience in professional services and working with affluent clients is required.
Ability to work with minimal supervision.
Strong administrative skills and exceptional organization.
Knowledge of Microsoft Word, Excel, PowerPoint, and contact management databases.
Reasonable knowledge of investments and ability to generate reports relevant to management of client investment portfolios.
Ability to manage multiple responsibilities and timelines.
Proven track record of delivering results and executing with excellence.
Excellent written and verbal communication skills.
Must be eligible for employment under FINRA standards and subject to required FINRA investigation and verification processes.
Satisfactory criminal background check, credit report check, civil litigation search, and regulatory agency or self-regulatory organization enforcement action search are required.
Required statements or certification regarding administrative, civil, and/or criminal findings by a government agency or self-regulatory organization.
Ability to satisfy the physical requirements described in the posting, including continuous sedentary work, multitasking, operating standard office equipment, sitting, concentration, reading, writing, comprehension, and basic arithmetic.
Associate degree and/or bachelor's degree preferred, or relevant experience.
Knowledge of investments, banking, and credit products preferred.

Nice To Haves

Associate degree and/or bachelor's degree, or relevant experience.
Knowledge of investments, banking, and credit products.

Responsibilities

Provide administrative and service support to Financial Advisors and their clients.
Deliver customer-centric service and help maximize client retention and growth.
Complete the onboarding experience for new clients, including client discovery and required client profiling documents.
May handle financial transactions, including collection, maintenance, reinvestment, and disbursement of funds, as well as account transfers.
Comply with applicable federal and state regulations, SRO regulations, firm policies, and procedures.
Meet continuing education requirements and complete applicable specialized training.
Follow TD Wealth AML/ATF policies and procedures and implement Customer Identification Program requirements, including collecting and verifying customer identification information and performing required due diligence.
Communicate proactively with assigned team members to support client service commitments.
Provide administrative support, including filing, report generation, presentation materials, written proposals, and spreadsheet reporting.
May act as a contact for client relationships concerning account maintenance, portfolio information, and cash transfers.
Respond promptly to incoming inquiries and requests, independently or by directing them to the appropriate person or area.
Perform account administration, retention, specialized services, and other duties within the wealth management area of specialization.
Maintain databases and computer systems, enter and update transactional and other information, ensure data accuracy, and create reports as required.
Coordinate information flow among clients, internal departments, and others; communicate procedural and administrative information; and obtain or forward required documents.
May resolve more difficult client issues, problems, and requests.
Guide and direct others as necessary and serve as a specialist resource for wealth management areas.
Keep team members informed about account administration, retention, and project status.
Complete administrative and client service tasks in accordance with policies and operating procedures.
Identify opportunities to refer clients to internal business partners.
Identify and recommend technology or process improvements that may improve productivity and client satisfaction.
Support the bank's customer service strategy and consider the impact of decisions on TD, its customers, and stakeholders.
Contribute to a positive work environment, share information and knowledge, and support an inclusive culture.
May provide leadership, training, and guidance to other team members.
Represent TD Wealth professionally and support TD community and charitable initiatives.

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, including cash and/or equity incentive awards