Internal Sales & Service Support Leader, US Wealth

TD Bank•Greenville, SC

11d

About The Position

Wealth Internal Sales and Service Support Leader, US is responsible for managing: 1) FINRA registered Client Service Supervisors who oversee the centralized service team 2) centralized FINRA registered sales representatives 3) supervisory responsibilities to ensure that all FINRA /SEC Regulations are being met within centralized service and sales teams Wealth Internal Sales and Service Support Leader is responsible for all people management accountabilities and works in partnership with the Wealth Market Leaders and other sales leadership. This role will establish consistent practices across the footprint, ensuring best practices and policies are created and followed. This position collaborates with Products & Services, Operations and Compliance colleagues to help train service and sales employees on new operational processes, platforms, and standard operational procedures. Wealth Internal Sales and Service Support Leader changes and implements management strategies, handles escalated client service issues, identifies and brings attention to any areas of risk and provides support for national key strategic initiatives to drive growth. The Wealth Internal Sales and Service Support Leader will interact with business partners to ensure the development and implementation of efficiencies and process improvements are executed across the markets. Wealth Internal Sales and Support Leader will monitor expenses/budgets, manage administrative processes, address Human Resources issues, and coordinate the transition and onboarding process for new service and sales staff. The job may coordinate with other team leads identified within the national footprint for larger scale projects and program management. This job provides high level support to WMLs and the Senior Executive Leadership team and acts as a critical expert representing the centralized service/sales teams on all integrated business initiatives, collaborating with other TD Wealth partners on the development of initiatives and execution strategies. Wealth Internal Sales and Service Support Leader identifies key actionable business issues and influences business partners to act based on research results and data. Wealth Internal Sales and Service Support Leader interacts directly with the Head of Distribution regarding strategic decisions. Depth & Scope: Manage Client Service Supervisors Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required Drives operational, client and employee related connectivity of front, middle and back office to streamline processes, increase efficiencies, create footprint policies and procedures, and a risk control environment. Key area of focus will include, but not be limited to Service Model Standard, Client Experience Standards, Onboarding and Training, Salesforce Training and implementing key business initiatives as directed. Coordinates and/or develops training/education workshops with emphasis on client service Promotes a consistent legendary Customer Experience with a focus on growth, productivity, sales effectiveness, and compliance and risk management across the footprint Works to develop a formal Associate On-Boarding process, Client On-Boarding/The Entire Client Experience, and Service model delivery standard Analyzes team performance, provides feedback, guidance, training and encouragement to impact efficiency Leads the associate off-boarding process to assure timely closure of access and monitoring of e/voice mails Leverages Client Service Supervisors to provide product review feedback as well as product/process improvement discussions Ensures Client Service Supervisors utilize capacity planning software Maintains communication with all on a regular basis through regular meetings, visits, webinars, and conference calls Communicates processes, updates, and policies to employees for proper utilization of bank systems and applications Guides team on process changes and communication of implementation of new processes Reviews and develops processes to prevent losses and execute cost saving measures Develops, administers, and updates procedures and policies to support business growth Manage Centralized Sales Representatives Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required Drives sales and revenue growth by developing and managing a team of centralized registered sales representatives For centralized sales team, coordinates with all interested parties (marketing, field, operations, etc.) to create client action plan that can be managed and checked in Salesforce Coordinates and/or develops training/education workshops with emphasis on sales skills Analyzes team performance, provides feedback, guidance, training and encouragement to impact revenue growth Maintains communication with all on a regular basis through regular meetings, visits, webinars, and conference calls Communicates processes, updates, and policies to employees for proper utilization of bank systems and applications Supervision of FINRA Registered Employees Responsible for supervising registered employees under FINRA registration Responsible for compliance with and strict adherence to all FINRA/SEC regulations and ensuring the teams pass all periodic audits Responsible for ensuring the teams follow TDPCW supervision policies and procedures as prescribed by the firm, including, but not limited to: Supervision of registered employees in their jurisdiction Email Review Blotter Review Review public and client communications Other duties as assigned Interacts with Business Partners to ensure the development and implementation of efficiencies and process improvements Attends regular meetings with Head of Distribution and/or WMLs to discuss and decision strategic direction Becomes an active member of new product/process development teams to represent the centralized service and sales teams and to ensure smooth implementation of changes Monitors overall TD Wealth customer satisfaction and client experience model with a view toward process improvements Assists in conducting improvements to streamline office procedures/processes and enhance overall client experience Establishes and maintains strong connectivity with Operations and finds/develops additional efficiencies for the field Assists in the developing of new procedures and policies by coordinating with Operations and Compliance Acts as escalation point for issues between the service/sales team and Operations Escalates customer complaints to Wealth Compliance immediately Engages with each WML, RM, IA and RID before any OSJ Exam, to prepare properly for the file and documentation review

Requirements

Bachelor's degree required
Must be Series 7, 63/65 or 66 and 24 licensed
Additional licenses may be required
Minimum of 7 years business experience in a financial institution with an emphasis in operations or administration
Must have supervisory experience
Proven ability to establish relationships and partner effectively with other departments

Nice To Haves

Possess a minimum of 7 to 9 years businesses experience in retail brokerage and private wealth management with an emphasis in operations, supervision and administration preferred.
A valid and active Life & Health insurance license is required
Consultative sales experience required.

Responsibilities

Manage Client Service Supervisors
Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required
Drives operational, client and employee related connectivity of front, middle and back office to streamline processes, increase efficiencies, create footprint policies and procedures, and a risk control environment.
Key area of focus will include, but not be limited to Service Model Standard, Client Experience Standards, Onboarding and Training, Salesforce Training and implementing key business initiatives as directed.
Coordinates and/or develops training/education workshops with emphasis on client service
Promotes a consistent legendary Customer Experience with a focus on growth, productivity, sales effectiveness, and compliance and risk management across the footprint
Works to develop a formal Associate On-Boarding process, Client On-Boarding/The Entire Client Experience, and Service model delivery standard
Analyzes team performance, provides feedback, guidance, training and encouragement to impact efficiency
Leads the associate off-boarding process to assure timely closure of access and monitoring of e/voice mails
Leverages Client Service Supervisors to provide product review feedback as well as product/process improvement discussions
Ensures Client Service Supervisors utilize capacity planning software
Maintains communication with all on a regular basis through regular meetings, visits, webinars, and conference calls
Communicates processes, updates, and policies to employees for proper utilization of bank systems and applications
Guides team on process changes and communication of implementation of new processes
Reviews and develops processes to prevent losses and execute cost saving measures
Develops, administers, and updates procedures and policies to support business growth
Manage Centralized Sales Representatives
Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required
Drives sales and revenue growth by developing and managing a team of centralized registered sales representatives
For centralized sales team, coordinates with all interested parties (marketing, field, operations, etc.) to create client action plan that can be managed and checked in Salesforce
Coordinates and/or develops training/education workshops with emphasis on sales skills
Analyzes team performance, provides feedback, guidance, training and encouragement to impact revenue growth
Maintains communication with all on a regular basis through regular meetings, visits, webinars, and conference calls
Communicates processes, updates, and policies to employees for proper utilization of bank systems and applications
Supervision of FINRA Registered Employees
Responsible for supervising registered employees under FINRA registration
Responsible for compliance with and strict adherence to all FINRA/SEC regulations and ensuring the teams pass all periodic audits
Responsible for ensuring the teams follow TDPCW supervision policies and procedures as prescribed by the firm, including, but not limited to: Supervision of registered employees in their jurisdiction Email Review Blotter Review Review public and client communications Other duties as assigned
Interacts with Business Partners to ensure the development and implementation of efficiencies and process improvements
Attends regular meetings with Head of Distribution and/or WMLs to discuss and decision strategic direction
Becomes an active member of new product/process development teams to represent the centralized service and sales teams and to ensure smooth implementation of changes
Monitors overall TD Wealth customer satisfaction and client experience model with a view toward process improvements
Assists in conducting improvements to streamline office procedures/processes and enhance overall client experience
Establishes and maintains strong connectivity with Operations and finds/develops additional efficiencies for the field
Assists in the developing of new procedures and policies by coordinating with Operations and Compliance
Acts as escalation point for issues between the service/sales team and Operations
Escalates customer complaints to Wealth Compliance immediately
Engages with each WML, RM, IA and RID before any OSJ Exam, to prepare properly for the file and documentation review

Benefits

Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals.
Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as 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, and reward and recognition.
Through regular development conversations, training programs, and a competitive benefits plan, we’re committed to providing the support our colleagues need to thrive both at work and at home.
You’ll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities.
We will provide training and onboarding sessions to ensure that you’ve got everything you need to succeed in your new role.

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