Financial Advisor Support Specialist II - Greenville, SC

TD•Greenville, SC

1d•$26 - $39•Onsite

About The Position

This role serves as a point of contact for clients in the mass affluent segment and provides primary administrative and service support to Financial Advisors and their clients. The specialist supports client onboarding, account administration, service requests, and team operations, while delivering consistent, accurate, and professional service. The role may handle financial transactions, account maintenance, portfolio information, and cash transfers, and may address more difficult client issues. It also serves as a specialist resource to wealth management areas and may guide or train other team members. The position requires compliance with applicable federal, state, FINRA, SEC, OCC, and firm rules and procedures, including AML/ATF, customer identification, due diligence, and continuing education requirements. The specialist works independently with minimal supervision, coordinates information among clients and internal departments, maintains systems and records, and identifies opportunities for referrals and process improvements. The stated physical requirements include continuous sedentary work, sitting, multitasking, operating standard office equipment, and concentration, with occasional travel and other movement-related activities.

Requirements

At least 1 year of related experience in the financial industry.
SIE and Series 99 registration are required.
Knowledge of investments, banking, and credit products.
Experience in professional services and working with affluent clients.
Proficiency with Microsoft Word, Excel, and PowerPoint, and experience with contact-management databases.
Ability to work with minimal supervision and demonstrate initiative.
Strong organization and administrative skills, with the ability to manage multiple responsibilities and timelines.
Ability to generate reports relevant to client investment portfolio management, with a preference for an administrative support focus.
Proven track record of delivering results and executing with excellence.
Excellent written and verbal communication skills.
Satisfactory criminal and financial background investigation and eligibility for employment under FINRA standards.
Ability to meet FINRA-related investigation and verification requirements, including Form U4 accuracy and completeness requirements.

Nice To Haves

Associate degree and/or bachelor's degree, or relevant experience.

Responsibilities

Provide primary administrative and service support to Financial Advisors and clients in the mass affluent segment.
Deliver customer-centric service and support client retention and growth through client interactions.
Ensure new clients receive a complete onboarding experience, including client discovery and completion of required profiling documents.
Handle financial transactions as applicable, including collection, maintenance, reinvestment, disbursement of funds, and account transfers.
Comply with applicable regulations, firm policies, operating procedures, AML/ATF requirements, and customer identification and due diligence procedures.
Complete continuing education and applicable specialized training.
Support assigned team members through proactive communication and accurate administrative work, including filing, report generation, presentation materials, proposals, and spreadsheets.
Serve as a contact for client account maintenance, portfolio information, and cash transfers as applicable.
Respond to incoming inquiries and requests, resolving them independently or directing them to the appropriate person or area.
Assist with account administration, retention, specialized services, and other wealth-management responsibilities.
Maintain databases and computer systems, enter and update data, ensure accuracy, and prepare reports as needed.
Coordinate information flow among clients, internal departments, and other parties; obtain and forward required documents and information.
Resolve more difficult client issues, problems, and requests as appropriate.
Keep team members informed about account administration, retention, and project status.
Identify referral opportunities to internal business partners and recommend technology or process improvements.
Represent TD Wealth professionally and contribute to a constructive, collaborative team environment.
Support TD community and charity initiatives and help improve the client and partner experience.
May provide leadership, training, and guidance to other team members.