Financial Advisor Support Specialist II - Greenville, SC

TD Bank•Greenville, SC

About The Position

This role serves as a point of contact for mass-affluent clients and provides primary administrative and service support to Financial Advisors and their clients. The specialist supports onboarding, account administration, client requests, and operational tasks while providing consistent, accurate, and professional service. The position may handle financial transactions, including collecting, maintaining, reinvesting, and disbursing funds, as well as account transfers. The role is responsible for carrying out work in accordance with applicable regulations, firm policies, and procedures, including requirements related to continuing education, anti-money-laundering and anti-terrorist-financing policies, and customer identification and due diligence. It contributes to a collaborative Wealth team, communicates proactively with colleagues and clients, and may serve as a specialist resource or help guide other team members. The position is based in Greenville, South Carolina, with 40 hours listed and an hourly pay range of $25.75–$38.50.

Requirements

At least 1 year of related experience in the financial industry.
SIE and Series 99 registration required.
Knowledge of investments, banking, and credit products.
Experience in professional services and working with affluent clients.
Knowledge of Microsoft Word, Excel, and PowerPoint, and experience with contact management databases.
Ability to generate reports relevant to managing client investment portfolios, with a preference for administrative support work.
Ability to work with minimal supervision and demonstrate initiative.
Strong organization and administrative skills.
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 satisfy applicable investigation and verification requirements.
Satisfactory criminal background, credit report, civil litigation, and regulatory or self-regulatory organization enforcement-action checks are required.

Nice To Haves

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

Responsibilities

Provide administrative and service support to Financial Advisors and their clients.
Deliver customer-centric service and support client retention and growth.
Provide new clients with a complete onboarding experience, including client discovery and completion of required profiling documents.
May handle financial transactions, including collection, maintenance, reinvestment, and disbursement of funds, and account transfers.
Comply with federal and state regulations, SRO regulations, and firm policies and procedures.
Meet continuing education requirements and follow TD Wealth AML/ATF policies and procedures.
Implement the Customer Identification Program by collecting and verifying identification information and completing required customer 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.
Serve as a contact for client account maintenance, portfolio information, and cash transfers as needed.
Respond promptly to incoming inquiries and requests, handling them independently or directing them to the appropriate person or area.
Complete account administration, retention, specialized service, and other duties within the wealth management area of specialization.
Maintain databases and computer systems, enter and update data, ensure accuracy, and prepare reports.
Coordinate information among internal departments, clients, and others, and obtain or forward required documents and information.
May resolve more difficult client issues, problems, and requests.
Guide or direct others as necessary and act as a specialist resource across wealth management areas.
Keep team members informed about account administration, retention, and project status.
Complete assigned administrative and client-service tasks according to policies and operating procedures.
Identify opportunities to refer clients to internal business partners.
Identify and recommend technology or process improvements that could increase productivity and client satisfaction.
Represent TD Wealth professionally and support community and charitable initiatives.
Contribute to a positive, inclusive, and collaborative team environment; share information and knowledge and support colleagues.
Complete applicable specialized training and work independently with minimal supervision.