Financial Advisor (Multiple Levels) - Rye Brook/ Port Chester, NY

TD•Rye Brook, NY

2d•$66,560 - $117,520•Onsite

About The Position

The Financial Advisor role is a three-year program with a forgivable draw for financial advisors or planners who provide financial planning guidance and sell investment management solutions. The advisor uses their experience to serve the unique and complex needs of TD Wealth clients by reviewing financial goals and making investment recommendations aligned with those goals. As the central point of contact for client relationships, the advisor provides client service and develops relationships to help clients achieve asset accumulation, preservation, growth, and protection goals while deepening their relationship with TD Wealth. The advisor provides a planning experience to new and existing clients, including client discovery, financial needs analysis, onboarding, annual reviews, and proactive contact. The role also involves meeting sales goals, identifying referrals and appropriate Wealth solutions, coordinating with Retail, Small Business, Commercial, and Wealth partners, and ensuring all business activities comply with applicable regulations and firm policies. The advisor contributes to the Wealth team through collaboration, mentoring, coaching, and referral training, and represents TD Wealth professionally in the community. The role is based in the Rye Brook/Port Chester, New York area, with 40 hours listed. It requires travel within the assigned market to meet prospects, clients, and partners five days a week. The final job level and title depend on the selected candidate’s qualifications, experience, and demonstrated capabilities; candidates may be considered for any role in the Financial Advisor Job Family.

Requirements

At least 2 years of experience providing advice, planning, and investment sales.
SIE, Series 7, and Series 63 licenses are required.
Life and Health license and Series 66 (or equivalent), or the ability to obtain all required licenses within the Licensing and Registration Schedule.
Self-directed, with a strong ability to plan activities to achieve sales and referral goals.
Advanced understanding of wealth products and services.
Strong verbal and written communication skills.
Strong organizational and time-management skills.
Ability to travel within the assigned market to meet prospects, clients, and partners five days a week, and ability to commute within the assigned territory.
Strong understanding of wealth management business development techniques.
Strong understanding and experience interacting with retail and small business banking clients.
Consultative sales experience.
Demonstrated ability to establish relationships and partner effectively with other departments.
Proven ability to achieve sales goals.
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 searches are required.
Bachelor’s degree is strongly preferred.

Nice To Haves

Bachelor’s degree.

Responsibilities

Review clients’ financial goals and make investment recommendations aligned with those goals.
Provide financial planning guidance and sell investment management solutions.
Serve as the primary point of contact for TD Wealth client relationships and manage all aspects of those relationships with TD Bank.
Deliver a complete onboarding experience to new clients, including client discovery, financial needs analysis, goals-based advice, introductions to centralized client servicing as needed, and completion of required documents.
Ensure new and existing clients receive a planning experience.
Conduct Annual Client Review meetings using an enhanced agenda addressing clients’ overall wealth needs, and maintain proactive contact.
Implement a differentiated service model for TD Wealth clients and deliver high-quality customer service.
Meet quarterly and annual sales goals; deepen wallet share by anticipating client needs and recommending appropriate Wealth solutions.
Identify opportunities in the client portfolio and network to refer business to Retail, Small Business, and Commercial partners; refer clients to Wealth partners and affiliates as appropriate.
Identify clients with higher asset thresholds and transition them to appropriate high-net-worth Wealth partners as needed.
Execute business activities in compliance with applicable regulations, policies, and procedures, including customer identification and due diligence requirements.
Complete required continuing education and adhere to TD Bank and TD Wealth policies and procedures.
Foster a positive and constructive work environment and contribute to the overall Wealth team.
Provide coaching, Wealth referral training, and ongoing feedback to Retail and Small Business staff.
Contribute as an individual, team member, and mentor to support strong performance, collaboration, and enthusiasm.
Represent TD Wealth professionally to the public and participate in community and TD charitable initiatives.
Support the Bank’s Customer Service Strategy, consider the impact of decisions on TD and its stakeholders, and contribute to improvements in partner and customer experience.
Participate fully as a team member, share knowledge, communicate project status and issues, and support an inclusive workplace.